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Audits of 401(k) Plans: New Developments and Critical Issues for an Effective and Efficient Audit (AFPL)

  • Format Live Seminar
  • Credits 8
  • Level Basic
  • Field of Study Auditing (8)

To register for a live seminar, visit the sponsoring state society’s website.

See Locations for this Course

Overview

One of the most favored employee benefit plans, the 401(k) plan, provides unique challenges for auditors. Obtain an understanding of the rules and regulations unique to employee benefit plans with the practical guidance provided by this course. Auditors will enhance their knowledge through real world examples, best practices and efficient audit techniques that can be utilized in various audit engagements. Make sure your audits don’t trigger a DOL inspection by conforming to all applicable rules and regulations.

Major Topics

  • Learn how to properly plan your benefit plan audit engagement and develop an audit strategy while improving overall efficiency
  • Find out how to avoid common pitfalls in planning and detailed audit procedures
  • Annual update of the changes affecting 401(k) plans
  • Description of common mistakes as noted in peer reviews and DOL inspections

Learning Objectives

  • Properly document your understanding of the plan, the environment and internal controls for an employee benefit plan
  • Understand the importance of reading, reviewing, and documenting the controls in a Service Organization Control Report
  • Identify potential audit triggers that may result in an inspection by the Department of Labor
  • Understand the risks associated with a benefit plan audit engagement
  • Avoid common mistakes noted during peer reviews

Who should take this course:


Practitioners responsible for planning and performing employee benefit plan audit engagements

Basic understanding of auditing defined contribution plans

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