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Adding Value through Plan Governance: Fiduciary Responsibility

  • CIA
  • CPA (US)
  • CVA
  • IAP
  • QIAL
  • Course Description
  • Course Qualification
  • Presenter
  • Faq

Course Description

Course Description

The number one reason for lawsuits against employer-sponsored retirement plans is a breach of fiduciary responsibility. 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 live continuing education webinar participants will take away a fresh perspective on how they can add value to retirement plan audits by learning about fiduciary responsibility, how to incorporate those principles into audit procedures, and the recommendations they should be made 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. 

The key topics covered in this online CPE webinar for CPAs, CIAs, and other professionals:

  • Fiduciary responsibility and liability issues of the plan sponsor.
  • How to incorporate fiduciary responsibility issues into audit procedures.
  • Key improvement observations related to fiduciary responsibility.

Learning Objectives

  • To define Fiduciary responsibility and liability issues of the plan sponsor.
  • To incorporate fiduciary responsibility issues into audit procedures.
  • To summarize the key improvement observations related to fiduciary responsibility.

Recommended For

  • This CPE Audit webinar for CPAs is recommended for practitioners responsible for planning and performing employee benefit plan audit engagements

Who Should Attend?

  • Accounting and audit managers/practitioners
  • Auditors
  • Certified Public Accountant
  • Compliance Managers
  • Compliance Officers
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Risk Managers
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1 CPE Credit for Qualification in Internal Audit Leadership (QIAL)
  • 1 CPE Credit for Internal Audit Practitioner (IAP)
  • 1 CPE Credit for Certified Valuation Analyst (CVA)
  • 1 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
  • 1 CPE Credit of Accounting & Auditing for Certified Internal Auditors (CIA)

Presenter

About Presenter

Kathleen Dulko, CPA (US), CPFA

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!

About Company

Ashford Investment Advisors

ashfordinvestmentadvisors.com/

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.

Faq

FAQs content

  • To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
  • Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
  • You must attend complete live webinar and respond to all polling questions asked during the webinar. Credits would be issued on 50 minute credit hour basis.
  • Polling feature Not supported: If you are logging in through browser or web portal in the browser (zoom.us) it doesn’t support the polling feature. Please be advised the current polling feature can only be supported via Zoom desktop and mobile app. You can check the same here : https://support.zoom.us/hc/en-us/articles/203749865-Polling-for-webinars
  • This event may be a recorded rebroadcast of a live event done in past and the instructor will be available to answer your questions during/after the webinar.
  • If you still face the polling problem please don’t panic and provide your response in the chat and we shall consider the same for processing for credits. You can download Zoom by clicking on the mentioned link : https://zoom.us/download
  • Our courses meet the global Continuing Professional Development (CPD-IES7) Standard for Chartered Accountants with International Education Standard 7 (IES 7) set by The International Federation of Accountants (IFAC), the International Accounting Education Standards Board (IAESB) and the Association of Chartered Certified Accountants (ACCA). Based on our accreditation by existing IFAC members and affiliates, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • You can manage your continuing education certificates and credits through your certificate dashboard which is available when you are logged in to your account (LOGIN)
  • As an accredited provider of Continuing Professional Education in the United States, myCPE online learning platform, courses, and webinars meet the requirements set forth by the Institute of Management Accountants (IMA), an IFAC Member Organization, as well as the National State Boards of Accountancy (NASBA) and the Institute of Internal Auditors (IIA), both IFAC Affiliates. As well as it has been approved by NASBA, Internal Revenue Service (IRS), Certified Financial Planner Board (CFP Board), California Tax Education Council (CTEC), Society of Human Resource Professional (SHRM), Human Resource Certification Institute (HRCI) and many more.Therefore, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable continuing education requirement as CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • myCPE Courses are taken by : CPA | CMA | CFE | CIA | CPA(Yellow Book)| CFP | CFA | CPA (Govt.) | EA | CRTP | MRTP | ORTP | ABV | CITP | CVA | PFS | CFF and others.

Ratings and Review

4.5

141 Ratings

Excellent

86

Very Good

45

Average

9

Poor

0

Terrible

1

WDGI

William D. Griffith Iii, CPA (US)

Nov 26th, 2021

Excellent presentation of subject I have not used for sometime.

JJ

Jason Jones, EA

Nov 26th, 2021

Great!

AK

Ali Khashashneh, CPA (US)

Nov 26th, 2021

It’s informative and very useful

AG

Amy Guiberteau, CPA (US)

Oct 26th, 2021

The instructor made a potentially boring topic very interesting. She was knowledgeable, well-spoken and efficient.

MB

Mark Bower, CPA (US)

Sep 24th, 2021

good basic summary

Retirement Plan Fiduciary Responsibilities

$10

1 Credit

Subject Area

Auditing

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