On-Demand

4 CPE

Surgent's Auditing 401(k) Plans: Critical Issues and Annual Update

On-Demand
4 CPE

This course is delivered as a recorded video. After completing all sessions, you must pass the final exam with a minimum score of 70% to receive credit.


Due to increasing scrutiny in the employee benefit plan area, it is imperative for auditors of 401(k) plans to remain up to date on the rules and regulations that may impact the audit engagement.

In this course, auditors will enhance their knowledge by understanding the changes affecting audit procedures and reporting in accordance with recently issued Statements on Auditing Standards (SASs), identifying best practices, and performing efficient audit engagements.

Learning Objectives

  • Understand the current changes to the rules and regulations associated with 401(k) plans
  • Identify best practices associated with engagement performance
  • Understand the risks associated with a benefit plan audit engagement
  • Avoid common mistakes noted during peer reviews

Major Topics

  • Key requirements of recently issued SASs
  • Changes affecting 401(k) plans
  • Audit strategy and improving overall efficiency
  • Common mistakes as noted in peer reviews and DOL inspections

CPE Credits Available

4 CPE
4
Auditing

Things to Know About This Course

Course Level

  • Basic

Professional Area of Focus

  • Accounting & Auditing

Prerequisites

Basic understanding of auditing defined contribution plans

Advanced Preparation

None

Intended Audience

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

Provider

Surgent CPE

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