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Event Description

In this course, we will discuss both the existing and new rules and regulations unique to employee benefit plans as well as provide practical guidance on their application. The most common compliance issues identified in 401(k) audits will be explored along with recommended corrections. We will identify best practices for handling specific issues that arise during the course of the engagement.


Learning Objectives
• Identify the current year changes to the rules and regulations affecting 401(k) plans
• Examine the most common compliance issues encountered in 401(k) plan audits, what to watch out for, and what can be done to ensure compliance
• Perform efficient and effective procedures associated with planning, internal controls, risk assessment, and detailed audit
• Explain the documentation and procedures related to plan mergers and acquisitions
• Discuss best practices associated with advanced audit areas including participant loans, payroll, compensation, investments, etc.
• Understand the risks associated with a benefit plan audit engagement

Discussion Leader

Bruce Nunnally, CPA, CPA