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Adding Value Through Plan Governance: Fiduciary Responsibility

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Before starting this self study program, please go through the instructional document.

Overview

  • Benefits of good plan governance
    3 mins
  • Who is a Fiduciary?
    9 mins
  • Walkthrough of Prudent Process
    20 mins
  • Fiduciary File
    31 mins
  • Fiduciary Bond v. Fiduciary Liability
    36 mins

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.


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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.

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

Testimonial

4.7

(37)
73%
22%
5%
0%
0%

MS

The information was good, but the presentation was a little dry