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Course Level :Basic
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Credits :1
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Instructional Method :Group Internet Based
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Pre-requisites :None
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Advance Preparation :None
Employee
Retirement Income Security Act (ERISA) guidelines generally require plans with
100 or more participants at the beginning of the plan year to have an audit of
the plan’s financial statements. The IRS requires all plans that must be
audited to attach those financial statements to its Form 5500 tax filing.
The The number one reason for lawsuits against employer-sponsored retirement plans is
breach of fiduciary responsibility.
Among
the first things you will request are plan-related documents. As a best
practice, these documents should be easily accessible, organized, and current.
Plan
auditors are in a perfect position to detect gaps in plan oversight; however,
most audit procedures don’t include simple steps that would identify those
breaches.
In
this online CPE course, participants will take away a fresh perspective on how
they can add value to retirement plan audits by learning about the essential
documents of plan governance and retention best practices. How essential
documents can be incorporated into audit procedures and the recommendations
they should be making to clients. By focusing on plan governance, auditors can make
performance improvement observations that will help plan sponsors understand
the prudent process they are required to follow and improve the quality of the
retirement plan they offer employees.
In this Retirement plan governance best practices CPE/CE webinar
following key topics are covered:
This
online CPE course provides a more detailed review of the essential documents
for retirement plans and how to incorporate them into audit procedures.
Click
for online CPE webinars on Accounting & Auditing
MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478
MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.
President, Ashford Investment Advisors
Kathleen Dulko started her financial services
career as a CPA focusing on retirement plan, health care, and government
audits. In 2010, she earned the position of Corporate Controller for a
tax-supported healthcare system, where she was a member of the Retirement Plan
and Investment Committees, overseeing more than $1 billion in assets. Ms. Dulko
joined Ashford Investment Advisors in 2017 where she serves as a 3(38)
Investment Manager to her retirement plan clients. Connect on LinkedIn for
regular updates on Plan Governance!
Ashford Investment Advisors is a
Registered Investment Advisor (RIA) based in Daytona Beach, Florida. We are
proud to offer our services as a 3(38) Investment Manager. Our unique service
model combines the plan governance components of a named fiduciary with the
risk transfer benefit of a 3(38) Investment Manager. Visit our website at
AshfordPlanReview.com to sign up for our monthly newsletter and learn more
about PlanAssure, our exclusive 12-point plan governance process.
198 Ratings
JH
Dec 31st, 2021
great information
CS
Nov 30th, 2021
great session
CG
Dec 31st, 2021
Seemed like presenter was reading from a paper most of the time. Very Basic slides.
SA
Nov 30th, 2021
nice outlines , clarity
WDGI
Nov 29th, 2021
Enhanced professional knowledge
1 Credit
Subject Area
Jun 29, 2022 | 10:00 AM EDT
Jun 29, 2022 | 10:00 AM EDT
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Jun 29, 2022 | 11:30 AM EDT
Jun 29, 2022 | 11:30 AM EDT
Jun 29, 2022 | 12:00 PM EDT
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