Audits of 401(k) Plans: New Developments/Critical Issues for an Effective, Efficient Audit (AFPL16)
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When: 10/31/2016
8:30 AM until 4:30 PM
Where: Bankers Center
5555 Banker Ave
Baton Rouge, Louisiana 
United States
Presenter: Gregory M. Clark

Online registration is closed.
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Acronym AFPL16
CPE 8 hours
Vendor Surgent McCoy CPE
Accounting & Auditing
Level Basic
Prerequisite Basic understanding of auditing defined contribution plans
Adv Prep None
Who should attend

Practitioners responsible for planning and performing employee benefit plan audit engagements

Registration Early Bird
(through 10/16)
(after 10/16)
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.


One of the most favored employee benefit plans, the 401(k) plan, provides unique challenges for auditors. Obtain an understanding of the rules and regulations unique to employee benefit plans with the practical guidance provided by this course. Auditors will enhance their knowledge through real world examples, best practices and efficient audit techniques that can be utilized in various audit engagements. Make sure your audits don't trigger a DOL inspection by conforming to all applicable rules and regulations.


  • Properly document your understanding of the plan, the environment and internal controls for an employee benefit plan
  • Understand the importance of reading, reviewing, and documenting the controls in a Service Organization Control Report
  • Identify potential audit triggers that may result in an inspection by the Department of Labor
  • Understand the risks associated with a benefit plan audit engagement
  • Avoid common mistakes noted during peer reviews


  • Learn how to properly plan your benefit plan audit engagement and develop an audit strategy while improving overall efficiency
  • Find out how to avoid common pitfalls in planning and detailed audit procedures
  • Annual update of the changes affecting 401(k) plans for the 2015 calendar year-end plans
  • Description of common mistakes as noted in peer reviews and DOL inspections