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Disqualified Person and Qualified Intermediary Kit

Disqualified Person and Qualified Intermediary Kit

USD274.83
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What does the Disqualified Person and Qualified Intermediary Self-Assessment Kit include?

The Disqualified Person and Qualified Intermediary Self-Assessment Kit includes 608 structured evaluation questions across six compliance domains, a scoring rubric, gap analysis matrix, remediation roadmap template, policy alignment checklist, enforcement case studies, and an automated Excel calculator, all delivered as instant digital downloads in PDF and Excel formats. It is designed to help organisations assess their exposure to prohibited transactions, validate qualified intermediary appointments, and prepare for IRS or DOL audits in accordance with IRC Sections 4975, 408, and ERISA fiduciary rules.

Failure to accurately identify a disqualified person or properly appoint a qualified intermediary risks severe regulatory penalties, audit failures, and disqualification of tax-exempt status, especially in complex transactions involving self-directed IRAs or not-for-profit entities. The Disqualified Person and Qualified Intermediary Self-Assessment Kit gives you immediate control over compliance by delivering a structured, comprehensive evaluation system that ensures your organisation meets IRS and ERISA standards. This 600+ question self-assessment equips compliance officers, risk managers, and legal advisors with the precise tools to detect exposure, validate intermediary qualifications, and document due diligence with confidence, turning regulatory complexity into actionable risk mitigation.

What You Receive

  • A 608-question self-assessment in Excel and PDF formats, organised across six maturity domains: Definition of Disqualified Persons, Identification of Prohibited Transactions, Qualified Intermediary Requirements, Conflict of Interest Management, Documentation and Disclosure Obligations, and Regulatory Audit Preparedness
  • Scoring rubric with weighted criteria to prioritise high-risk gaps, enabling you to allocate resources where they matter most and demonstrate risk-based decision-making to auditors
  • Gap analysis matrix that maps current practices against IRS Code Sections 4975, 408, and ERISA fiduciary standards, highlighting non-compliant behaviours and control deficiencies
  • Remediation roadmap template with customisable action items, ownership assignments, and milestone tracking to close compliance gaps within 30, 90 days
  • Policy alignment checklist to review and strengthen internal controls, service provider agreements, and disclosure statements in line with Department of Labor guidelines
  • Real-world case study bundle with five documented enforcement actions from the IRS and DOL, illustrating how failures in intermediary oversight led to excise taxes, plan disqualifications, and personal liability
  • Automated Excel calculator that generates instant compliance scores, risk heat maps, and audit readiness ratings for executive reporting

How This Helps You

Every day without a formal assessment increases your exposure to prohibited transactions that trigger excise taxes under IRC Section 4975, penalties that can reach 100% of the transaction value. With this kit, you gain the ability to proactively screen relationships, validate third-party intermediaries, and document compliance decisions before audits occur. You’ll reduce investigative workload during IRS reviews by up to 70% through pre-organised evidence trails. Organisations using this self-assessment report faster onboarding of custodians and trustees, improved service provider due diligence, and stronger internal audit outcomes. Inaction risks not only financial penalties but reputational damage, loss of client trust, and potential personal liability for fiduciaries.

Who Is This For?

  • Compliance officers at financial institutions managing self-directed retirement accounts
  • Risk managers in not-for-profit organisations overseeing related-party transactions
  • Legal counsel and fiduciary advisors ensuring ERISA and IRS Code compliance
  • Internal auditors validating controls around prohibited transactions and conflict disclosures
  • Plan administrators responsible for maintaining tax-exempt status and filing Form 5500 disclosures
  • Private equity and real estate investment firms structuring IRA-backed deals

Choosing this self-assessment isn’t just about acquiring a tool, it’s a strategic decision to safeguard your organisation’s compliance posture, strengthen governance, and demonstrate due diligence to regulators. This is the standard used by leading fiduciary risk programmes to prevent costly mistakes before they occur.

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