Customer Service: 800-778-7436     

To access your product click the Log In link at the top right of the screen. Once inside your account, you will be able to access your Packages, Self-Study Product, and Webinar Registrations.

Sign In to Your Surgent Account

Forgot Username or Password | Register for an Account

Advanced Audits of 401(k) Plans: Best Practices and Current Developments (AAFP)

Choose CPE Format:

Live Webinar SELECT STARTING AT $239 (14 dates)

Credits: 8

Qualifies For: CPE

Instructor(s): Melissa Critcher, CPA, PC

$239

Choose a Webinar Date

(All Times Eastern)

Please choose a Webinar date

NO HASSLE REFUNDS & TRANSFERS
EASY CANCELLATIONS
Self-Study (On Demand) SELECT

This course is not currently available. Please fill out this short form to be notified when self-study options are available.

FIRST NAME
LAST NAME
EMAIL ADDRESS
COMMENTS (OPTIONAL)
It was very pertinent to auditing 401k plans, and Melissa is very knowledgeable.
Brad B.

Interested in bringing this course into your firm?

PRIVATE WEBINARS AND LIVE ON-SITE COURSES ARE AVAILABLE. LEARN MORE.

Advanced Audits of 401(k) Plans: Best Practices and Current Developments (AAFP)

  • Customer Rating
    (16)
  • Field of Study
    Auditing
  • Level
    Advanced
  • Credits
    8
  • Qualifies for

    CPE

Overview

As we saw from the recent United States Department of Labor review of employee benefit plan audits, auditors need to raise their game in order to provide the quality audits that plan stakeholders demand. The AICPA has reacted by issuing a proposed SAS that will significantly impact how audits of these plans will be performed. Now is the time to get up to speed on these significant issues and changes occurring in the world of 401(k) plan audits. In this advanced course, we will discuss both the existing and new rules and regulations unique to employee benefit plans as well as provide practical guidance on their application. The most common compliance issues identified in 401(k) audits will be explored along with recommended corrections. Auditors will identify best practices for handling specific issues that arise during the course of the engagement related to payroll and compensation, participant loans, hardship distributions, investments, plan mergers/acquisitions, etc. Efficient audit techniques that can be utilized in various audit engagements will also be identified. This is the course to take to help you improve the quality of your 401(k) benefit plan audits.

Major Topics:

  • Annual update of the changes affecting 401(k) plans
  • Compliance issues associated with eligibility and enrollments, remittances, lack of oversight, compensation, vesting, etc.
  • Best practices for engagement planning, internal controls, risk assessment, and detailed testing
  • How to avoid common mistakes made while performing audit procedures
  • Plan mergers and acquisitions
  • Common audit reporting and disclosure issues
  • Proposed changes in the AICPA's proposed SAS on auditing employee benefit plans

Learning Objectives

  • Identify the current year changes to the rules and regulations affecting 401(k) plans
  • Examine the most common compliance issues encountered in 401(k) plan audits, what to watch out for, and what can be done to ensure compliance
  • Perform efficient and effective procedures associated with planning, internal controls, risk assessment, and detailed audit
  • Explain the documentation and procedures related to plan mergers and acquisitions
  • Discuss best practices associated with advanced audit areas including participant loans, payroll, compensation, investments, etc.
  • Understand the risks associated with a benefit plan audit engagement

Designed for:

Experienced practitioners responsible for planning and performing employee benefit plan audit engagements

Prerequisite:

Detailed understanding of auditing defined contribution plans

Advanced Preparation:

None

Interested in bringing this course into your firm?

PRIVATE WEBINARS AND LIVE ON-SITE COURSES ARE AVAILABLE. LEARN MORE.
loading

Loading...

Loading...

Thank You!

YOU HAVE ADDED THE FOLLOWING TO YOUR CART:


Loading...

Thank You!

Thank You! Your request has been submitted.



Get More with a Surgent CPE package

Unlimited Self-Study Package

  • Unlimited 24/7 access to 200+ downloadable self-study courses

  • Courses range from 2-20 credits

  • Provides online grading & CPE certificates by email

  • Does NOT include Premium courses

$499

Buy Now

Unlimited Webinar Package

  • Unlimited access to all non-premium live CPE webinars

  • Includes 1-, 2-, 3-, 4-, and 8-hour webinars, including Saturday and evening options

  • Access through December 31st of the year in which you purchase

  • Does NOT include Premium courses

$649

Buy Now

 

Unlimited Plus Package

  • Unlimited access to ALL live CPE webinars

  • Includes all premium courses and virtual conferences

  • Unlimited 24/7 access to all self-study courses

  • Includes all on-demand webcasts

  • Access for a year from purchase date

$799

Buy Now

Explore Additional Courses by Topic

  • CPE Continuing Professional Education for CPAs

  • IRS Continuing Education for EAs and the AFSP program

  • CFP Accepted by the CFP® Board

  • YB YellowBook Continuing Education

  • CTEC Approved for CE by CTEC

QAS Approval Surgent IRS Approval Surgent CFP Approval Surgent CTEC Approval Surgent
CPE Webinars
CPE Webinars

Thank You!

Thank You! Your subscription has been submitted.