CPE PACKAGES (Incl. Ethics) for Multiple States and Qualifications @ $4/credit. CLICK HERE to view.

Retirement Plan Governance Best Practices: Essential Documents

  • AFSP
  • CPA (US)
  • EA
  • Tax Preparer
  • CTEC
Retirement Plan Governance CPE Webinar

1 Credit


Subject Area


Webinar Qualifies For

1 CPE credit of Taxes for all CPAs

1 CE credit of Federal Tax for Enrolled Agents ( IRS Approved : GEHNZ ) (Approval No. GEHNZ-T-00597-21-O)

1 CE credit of Federal Tax Subjects for California Tax Professionals (CTEC Approved - 6273) (Approval No. 6273-CE-0571)

1 CE credit of Annual Filing Season program (AFSP)( IRS Approved : GEHNZ )

1 CE credit of Federal Tax for Oregon Tax Preparers (Approval No. GEHNZ-T-00597-21-O)

1 CE credit of Federal Tax for Maryland Tax Preparers (Approval No. GEHNZ-T-00597-21-O)

1 General Educational credit for Tax Professionals / Bookkeepers / Accountants

Course Description

With increased oversight of retirement plans—and continually changing regulations—you want to be confident that you’re in control of your plan’s compliance. Whether working on your own, or with the assistance of a plan consultant, maintaining documentation and processes for plan governance can help prepare you in case of a plan audit or compliance check. It’s also a great way to increase the efficiency of your plan while improving the experience of your participants.

Retirement plans are designed to be long-term programs for participants to accumulate and receive benefits at retirement. As a result, plan records may cover many years of transactions. The Internal Revenue Service (IRS), as well as the Employee Retirement Income Security Act (ERISA), require plan sponsors to keep records of these transactions because they may become material in administering pension law.

Considering that the Department of Labor (DOL), IRS, participant, or participant’s legal counsel could come calling at any time, you’ll want to be ready to show your ERISA required documented prudent process

By focusing on plan governance, plan sponsors can implement a prudent process for carrying out their fiduciary responsibility, and improve the quality of the retirement plan they offer employees.

In this online continuing education course, participants will learn about the essential documents of plan governance, how and when to update these documents, and how to implement best practices with document review and retention.

This online CPE/ CE course provides a more detailed review of the essential documents for retirement plans and how to ensure they are properly maintained. Participants will learn:

In this Retirement plan governance best practices CPE/CE webinar following key topics are covered:

  • What is a fiduciary file?
  • Financial documents of fiduciary file
  • Operational documents of fiduciary file
  • How fiduciary file can be used for ease of access, review and retention
  • At what intervals should the documents be reviewed?
  • Detailed Instructions about form 5500
  • Exclusive 12-point Plan Governance Process

Click here for webinar on Latest Tax Updates

Learning Objectives

  • To list the essential documents of retirement plan administration.
  • To know how and when to update essential documents.
  • To discuss strategies for implementing best practices.

Who Should Attend?

  • Bookkeepers & Accountants & Tax Preparers
  • Certified Public Accountant
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Enrolled Agent
  • Maryland Tax Preparers
  • Oregon Tax Preparers
  • Tax Accountant (Industry)
  • Tax Attorney
  • Tax Director (Industry)
  • Tax Firm
  • Tax Managers
  • Tax Practitioners
  • Tax Preparer
  • Tax Professionals
  • Tax Pros
  • Trust & Estate Tax Professional
  • Young CPA


    [average] => 4.4848
    [no_of_record] => 66




very informative class


Great presentation. It is well organized and knowledgeable. It's so catchy and interesting. Thank you


Good information


This was good to know. I don't deal with anything near this large, but knowledge is power and you never know when it will become 100% useful. Very interesting that she has a 7 part series on all this. Shows that it it Really Complicated!