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

Audits of 401(k) Plans: New Developments and Critical Issues (AFPL)

Choose CPE Format:

Live Webinar SELECT STARTING AT $299 (2 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
Presenter was wonderful. Very knowledgeable and easy to understand!!
Jason

Interested in bringing this course into your firm?

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

Audits of 401(k) Plans: New Developments and Critical Issues (AFPL)

  • Customer Rating
    (84)
  • Field of Study
    Auditing
  • Level
    Basic
  • Credits
    8
  • Qualifies for

    CPE

Overview


One of the most favored employee benefit plans, the 401(k) plan, provides unique challenges for auditors. Also, as many 401(k) plan administrators opt for ERISA Section 103(a)(3)(C) audits, audits of 401(k) plans will be significantly impacted by the now-effective SAS 136, the AICPA’s new employee benefit plan auditing standard.

Through this course, auditors will obtain an understanding of the rules and regulations unique to employee benefit plans and obtain practical guidance on applying them. Auditors will enhance their knowledge of the performance and reporting requirements of SAS 136 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:

  • Proper planning of benefit plan audit engagements and developing audit strategy while improving overall efficiency
  • Common pitfalls in planning and detailed audit procedures
  • Changes affecting 401(k) plans, including SAS 136 implementation
  • Common mistakes as noted in peer reviews and DOL inspections

Learning Objectives

  • Identify the key provisions of SAS 136
  • Properly document 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 Department of Labor inspections
  • Understand the risks associated with a benefit plan audit engagement
  • Avoid common mistakes noted during peer reviews

Designed for:

Practitioners responsible for planning and performing employee benefit plan audit engagements

Prerequisite:

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)

  • Does NOT include select+ courses

$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

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.