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Adding Value To Retirement Plan Audits Through Plan Governance: Overview

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


  • Safety and Profitability
    3 mins
  • Applicability of ERISA
    10 mins
  • Governing Plan Documents
    16 mins
  • Related Documents
    23 mins
  • Monitoring Service Providers
    35 mins

Course Description

The number one reason for lawsuits against employer sponsored retirement plans is 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.

Participants of this online audit webinar for CPAs will take away a fresh perspective on how they can add value to retirement plan audits. 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. 

This Online CPE Webinar covers following Key Topics:

  • An overview of retirement plan governance issues.
  • How to incorporate plan governance into audit procedures.
  • Key improvement observations related to planning governance.

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Learning Objectives

  • To discuss about retirement plan governance issues.
  • To explain how to incorporate plan governance into audit procedures.
  • To discuss key improvement observations related to plan governance.

Who Should Attend?

  • Accounting and audit managers/practitioners
  • Auditors
  • Certified Fraud Examiner
  • Certified Valuation Analysts
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Young CPA