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Event Description

Audits of employee benefit plans are among the leading causes of AICPA ethics investigations. With the increase in DOL investigations and changing peer review requirements, employee benefit plans are becoming an area of focus and risk. Avoid unwittingly adding your company or firm — and yourself — to the list of tarnished reputations.

This seminar will enable you avoid common pitfalls and:
• Perform an efficient and effective audit in accordance with GAAS
• Ensure the plan’s financial statements comply with GAAP, ERISA and DOL regulations
• Understand auditors’ responsibilities for Form 5500
• Stay abreast of the current and/or upcoming changes


To develop the knowledge and skills to plan and conduct audits of employee benefit plans efficiently and in accordance with GAAS and various government regulations. You will gain an understanding of the auditor’s responsibilities and special reporting requirements.

Major Subjects

  • Audit planning and risk assessment
  • Understanding the control environment
  • Substantive analytics
  • Using a service organization (SSAE No. 16) report
  • Review ERISA and DOL regulations
  • Form 5500
  • Avoiding common errors
  • Assessing the level of testing for investments, contributions, benefit payments, payroll and participant data
  • Financial statement presentation and disclosures
  • Accounting and auditing update

Discussion Leaders

Missy Herbert, CPA, CPATara Hornsby, CPA