Auditing Defined Contribution Plans (AEMP16)
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When: 8/29/2016
8:30 AM until 4:30 PM
Where: LCPA - Training Facility
2400 Veterans Memorial Blvd
Suite 500
Kenner, Louisiana 
United States
Presenter: Joann Cross

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Acronym AEMP
CPE 8 hours
Vendor AICPA
Accounting & Auditing
Level Intermediate
Prerequisite Experience with the employee benefit plan audit process and a working knowledge of ERISA
Adv Prep None
Who should attend

Practitioners with experience auditing defined contribution and defined benefit plans

Registration Early Bird
(through 8/14)
(after 8/14)
Member $289 $339
CPA Non-Member $389 $439

The Member rate applies to LCPA members, reciprocal state society members, and non-CPA staff of LCPA members. To register online, use the ‘Register’ button above. To register by phone, call the LCPA Member Service Center at 800.288.5272 or 504.464.1040, Monday through Friday, 8am to 5pm.

AICPA members receive an additional $30 off the registration fee for this course.

Discount made at the time of checkout. Qualifying members should have received a promo code via email – if you are unsure whether you qualify, or you lost/never received your code, please call the LCPA Member Service Center at 504.464.1040 or 800.288.5272.

Take the next step in your career development and learn how to go beyond the basics in preparing workpapers and financial statements in audits of employee benefit plans. This course will give you tools to understand the complex rules and regulations that affect employee benefit plans as well as guidance on addressing deficiencies. Through group discussions and contemporary case studies, you’ll gain a thorough understanding of the procedures needed to effectively plan and carry out your audits.


  • Identify different types of defined contribution plans that are available to plan sponsors.
  • Analyze complex audit and accounting issues associated with defined contribution plans.
  • Identify the different types of investment options that may be available to participants, including the audit procedures for complex investments.
  • Analyze various fraud examples and develop the appropriate audit responses.
  • Apply rules and regulations associated with auditing and reporting for defined contribution retirement plans.


  • Identification of various types of plans
  • Planning, communication, and other activities for audits of defined contribution plans
  • Investments and investment related income
  • Auditing participant data, contributions, distributions, and notes receivablefrom participants
  • Fraud in employee benefit plans
  • Government regulations and reporting requirements
  • Comparing the audited financial statements to Form 5500
  • Legal counsel representations
  • Case studies and discussion questions