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Surgent's Advanced Audits of 401(k) Plans: Best Practices and Current Developments

 Various
 
8.0
Registration is Open
Member Price
$299.00 Regular Registration
Your Price
$314.00 Regular Registration
This course is being offered on multiple dates, listed below. Click the Register button next to your preferred date to register.
 Fri, 06/20/2025 from 9:00 am to 5:00 pm
 Fri, 07/18/2025 from 9:00 am to 5:00 pm
 Fri, 08/22/2025 from 9:00 am to 5:00 pm
 Mon, 09/22/2025 from 9:00 am to 5:00 pm
 Mon, 10/06/2025 from 9:00 am to 5:00 pm
 Fri, 10/17/2025 from 9:00 am to 5:00 pm
 Fri, 10/31/2025 from 9:00 am to 5:00 pm
 Mon, 11/10/2025 from 9:00 am to 5:00 pm
 Wed, 12/03/2025 from 9:00 am to 5:00 pm
 Wed, 02/25/2026 from 9:00 am to 5:00 pm
 Fri, 03/13/2026 from 9:00 am to 5:00 pm
 Currently available
Designed For:

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

Prerequisite:

A basic understanding of auditing defined contribution plans


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.

Delivery Method: Individual webcast
CPE Credit: Auditing
Program Level: Advanced

This course is being offered by a 3rd party vendor and will not be accessible on your My CPE page. Webinar access information will be emailed directly to you by Surgent McCoy.

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

Speakers

Advanced Preparation

None

Vendor

The Virginia Society of CPAs (VSCPA) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: NASBARegistry.org.

For more information regarding refund, complaint, program cancellation or other policies, visit our Registration Policies page or call (800) 733-8272.