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Audits of 401(k) Plans (4151913C)
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Employers want their employee benefit 401(k) plans to run efficiently and participating employees want the best returns on their investments. And as 401(k) plans become increasingly popular benefit options, CPAs must have the skills to effectively audit them. Explore aspects of how to better plan and conduct 401(k) plan audits, including how to prepare financial statements that satisfy ERISA and SEC requirements, and understand the differences between 401(k) and other employee benefit plan audit

1/28/2016
When: 1/28/2016
9:30 AM - 5:00 PM
Where: Webcast/Webinar
Presenter: Howard Sibelman
Contact: April Deneault
801-834-6634


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Employers want their employee benefit 401(k) plans to run efficiently and participating employees want the best returns on their investments. And as 401(k) plans become increasingly popular benefit options, CPAs must have the skills to effectively audit them. Explore aspects of how to better plan and conduct 401(k) plan audits, including how to prepare financial statements that satisfy ERISA and SEC requirements, and understand the differences between 401(k) and other employee benefit plan audits.
 

Objectives:

Determine the requirements for 401(k) audits as distinguished from audits of other types of employee benefit plans.
Identify how to more efficiently and effectively plan and conduct 401(k) audits, including those with voice response record keeping systems.
Recognize new developments affecting 401(k) audits.

 

Major Subjects:

ERISA and SEC requirements
Audit planning: Analytical procedures, accounting estimates and fraud
Evaluating internal control
Auditing the statement of net assets available for benefits
Auditing the statement of changes in net assets available for benefits
Special audit considerations
Preparing the auditor's report
Financial statement disclosures
Supplementary schedules

 

Designed For:

Practitioners who perform employee benefit plans audits or who advise companies in this area; CPAs in business or industry responsible for administering their company's benefit plan; and accountants employed by banks and insurance companies.

 

Prerequisite: None

 

Advanced Prep: None

  

Speaker: Howard Sibelman

Vendor: CalCPA

Field of Study: Accounting & Auditing

Level: Basic

CPE Credit: 8 Hours

Acronym: AFKP

 

Registration Fees:

Members: $275

Nonmembers: $375

 

Meet the Speaker:

Howard has extensive accounting, auditing and consulting experience with middle-market companies, and he has served clients in the manufacturing, distribution, entertainment, hospitality, and real estate industries. An integral part of Howard’s professional background is his role as an educator. He was the director of continuing education for a national accounting firm, was an instructor at the University of Southern California, was on the faculty of two of the nation’s largest certified public accounting review courses, and has facilitated numerous firm and CPA Society education programs.  
Howard was previously a business assurance partner at Moss Adams LLP, the 11th-largest accounting and consulting firm in the US. He was a member of the firm’s international services group and the IFRS core training group, and served as the quality control coordinator for the firm’s Los Angeles office. He was recently selected by the California Society of CPAs to be the vice-chairman (chairman elect) of the state’s accounting principles and auditing standards committee.  

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