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Audits of 401(k) Plans

  • 04/10/2019
  • 8:00 AM - 4:00 PM



Since 401(k) plans make a popular option for employee benefit plans, auditors of  employee benefit plans must have the proper skills to audit these plans effectively. You will work through how to audit a 401(k) plan and prepare financial statements  that satisfy ERISA and SEC requirements. Tap into ways to plan and conduct 401(k)  audits more efficiently and effectively, and understand the differences between  401(k) audits and other employee benefit plan audits.
• Recognize the requirements for 401(k) audits to distinguish between audits of  other types of employee benefit plans and 401(k) audits. 
• Identify efficient and effective ways to plan and conduct 401(k) audits. 
• Recognize new developments affecting 401(k) audits. 

Topics Discussed 
• Background of 401(k) audits 
• Audit planning and pre-engagement activities 
• Internal control considerations 
• Auditing the statement of net assets available for benefits 
• Auditing the statement of changes in net assets available for benefits 
• Other auditing considerations 
• The auditor’s report 
• Financial statement disclosures 
• Supplemental schedules

Designed For: Auditors of employee benefit plans
Accountants in business and industry who are responsible for company benefits

Level: Basic

Instructor: Randy Dummer CPA

Developer: AICPA

CPE Credits: 8

Area of Study: Auditing  8

Visit Us:

3325 South Washington Street
Suite B2
Grand Forks, ND 58201

Contact Us: 

 (701) 775-7111
or (877) 637-2727

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