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 $299 (7 dates)

Credits: 8

Qualifies For: CPE

Instructor(s): Melissa Critcher, CPA, PC

$299

Choose a Webinar Date

(All Times Eastern)

Please choose a Webinar date

NO HASSLE REFUNDS & TRANSFERS
EASY CANCELLATIONS
Self-Study SELECT STARTING AT $199 (On Demand)

On-Demand Webcast

Credits: 8

Qualifies For:

$199
The presenter was excellent, and her examples were practical and useful.
Perry

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
    (35)
  • Field of Study
    Auditing
  • Level
    Advanced
  • Credits
    8
  • Qualifies for

    CPE

Overview


Looking to improve the quality of your 401(k) benefit plan audits? This is the course for you. Based on recent data from the U.S. Department of Labor and peer reviews on employee benefit plan audits, we know auditors need to up their game to meet stakeholder demands and provide the best possible audit services.

In this advanced course, we will discuss the audit and reporting requirements in accordance with SAS 136 and other recently issued SASs. We will also discuss laws and regulations (such as ERISA) that are unique to employee benefit plans and provide practical guidance on their application. Course topics will focus on the most common compliance issues identified in 401(k) audits by the Department of Labor and peer reviews, as well as recommended corrections. Auditors will identify best practices for auditing areas such as payroll and compensation, participant loans, hardship distributions, investments, and plan mergers and acquisitions.

Major Topics:

  • Audit requirements for ERISA §103(a)(3)(C) audits
  • An annual update of the changes affecting 401(k) plans
  • Compliance issues associated with eligibility and enrollments, remittances, lack of oversight, compensation, vesting, and other topics
  • Best practices for engagement planning, internal controls, risk assessment, and detailed testing
  • Avoiding common mistakes while performing audit procedures
  • Plan mergers and acquisitions
  • Common audit reporting and disclosure issues

Learning Objectives

  • Identify key provisions of recently issued SASs
  • Identify the current year changes to the rules and regulations affecting 401(k) plans
  • Understand the most common compliance issues encountered in 401(k) plan audits, pitfalls to watch out for, and strategies to ensure compliance
  • Perform efficient and effective procedures associated with planning, internal controls, risk assessments, and detailed audits
  • Explain the documentation and procedures related to plan mergers and acquisitions
  • Discuss the best practices associated with advanced audit areas, including participant loans, payroll, compensation, and investments
  • 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:

A basic 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 an Unlimited CPE subscription

Unlimited PLUS

  • Unlimited access to ALL live CPE webinars, including premium courses

  • Unlimited 24/7 access to on-demand webcasts and self-study PDF courses

  • Includes select gamified CPE courses from Surgent Interactive

  • Access for a year from date of purchase

  • Auto-renew locks in your price for next year (can cancel any time)

$899

 BUY NOW 

Unlimited Webinars

  • Unlimited access to all non-premium live CPE webinars

  • Includes 1, 2, 3, 4 and 8 CPE sessions

  • Access for a year from purchase date

  • Auto-renew locks in your price for next year (can cancel any time)

  • Provides online grading & CPE certificates by email

  • Does NOT include Premium courses and select* courses

$749

 BUY NOW 

 


Unlimited Self-Study

  • Unlimited 24/7 access to 250+ downloadable PDF courses

  • Courses range from 1-20 credits

  • Access for a year from date of purchase

  • Auto-renew locks in your price for next year (can cancel any time)

  • Provides online grading & CPE certificates by email

  • Does NOT include Premium courses and select^ courses

$549

 BUY NOW 

 


+Excludes: ETDE, AFTR, ETTX, Certification Courses, and select Surgent Interactive games (MTT2, MTT4, MTT5, MTT6, MTT7, SAU1, SAU2, SAU4, SAU5, SAU6, BDV1, and RPA1)

*Excludes Premium Webinars & Ethics for Delaware (ETDE)

^Excludes: ETDE, ETTX, AFTR, Certificate Courses, and Interactive Games

 

Explore additional courses by topic

  • Accounting and Auditing CPE courses

    Accounting &
    Auditing

  • Business and Industry CPE courses

    Business &
    Industry

  • Ethics CPE courses

    Ethics

  • Financial Planning CPE courses

    Financial
    Planning

  • Fraud and Forensics CPE courses

    Fraud &
    Forensics

  • Government and Non-Profit CPE courses

    Government/
    Non-Profit

  • Personal Development CPE courses

    Personal
    Development

  • Practice Management CPE courses

    Practice
    Management

  • Taxes CPE courses

    Taxes

  • Tech CPE courses

    Tech

 

Qualifies for

CFP CFP® Board-approved CE for Certified Financial Planners


CMA IMA-approved CE for Certified Management Accountants

CPE NASBA-approved CPE for Certified Public Accountants


CTEC California Tax Education Council-approved CE

IRS IRS-approved CE for Enrolled Agents and the AFSP


YB GAO-fulfilling Yellow Book audit requirements

CPE Webinars
CPE Webinars

Thank You!

Thank You! Your subscription has been submitted.