Employee Benefit Plan Audit Peer Reviews
Preparing for Risk Assessment, Control Document Inspection, and Other Peer Reviewer Concerns
A live 110-minute CPE video webinar with interactive Q&A
This course will prepare audit advisers to identify issues that frequently arise in peer review audits of employee benefit plans and offer best practices to address potential problems and work with reviewers.
- Preparing for the peer review
- DOL emphasis on deficiencies
- Unique reporting requirements
- How to structure the peer review
- Issues with documentation
- Written audit programs
- System of quality controls
- Inspection requirements and considerations
- Common errors and deficiencies
- Common pitfalls with defined contribution plans
- Common pitfalls with defined benefit plans
- Approach to the review team
The panel will explore these and other critical topics:
- Standards and guidance to be followed: general AICPA peer review standards and specific checklists, interpretations, and alerts
- Common audit deficiencies: areas targeted in participant data, investments, contributions, plan obligations, and elsewhere
- Documentation mandates: acceptably written audit programs and internal control documentation
- Proactive measures: logical steps to take now to handle potential noncompliance before the next peer review
Baker Tilly US
Ms. Hayes' primary disciplines include financial statement attestation and employee benefit plan audits. She has a... | Read More
Ms. Hayes' primary disciplines include financial statement attestation and employee benefit plan audits. She has a dedicated focus on investment companies including private equity, hedge funds, fund-of-funds, venture capital, and related management companies. Ms. Hayes assists clients with investment company-specific accounting and reporting issues, as well as valuation methodology and standard operating practices in the investment industry. Additionally, she has extensive experience with employee benefit plans including defined contribution plans, defined benefit plans, health and welfare plans, cash balance plans, and employee stock ownership plans for both public and nonpublic companies.Close
to be announced.
Early Discount (through 11/12/21)
CPE credit processing is available for an additional fee of $39.
CPE processing must be ordered prior to the event. See NASBA details.