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Adding Value To Retirement Plan Audits Through Plan Governance: Overview

  • Accountant
  • CIA
  • CPA (US)
  • CA - ICAEW
  • IAP
  • QIAL
  • LPA
  • ACCA
  • CA - Ireland
  • CA - Scotland
  • CPA - Ireland
  • CWS

Published: October, 2021

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

  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description


  • 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.

Click to access more webinars on IRS Representation | Latest Tax Updates | Sales & Use Tax

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.

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 Fraud Examiner
  • Certified Valuation Analysts
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1 CPE Credit for Qualification in Internal Audit Leadership (QIAL)
  • 1 CPE Credit for Licensed Public Accountant (LPA)
  • 1 CPE Credit for Internal Audit Practitioner (IAP)
  • 1 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
  • 1 CPE Credit for Certified Internal Auditors (CIA)
  • 1 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 1 CE Credit for Certified Wealth Strategist (CWS)
  • 1 General Credit for Accountant/Bookeeper
  • 1 CPD Credit for CA - ICAEW
  • 1 CPD Credit for Chartered Certified Accountants (ACCA)
  • 1 CPD Credit for Chartered Accountants - Ireland (CAI)
  • 1 CPD Credit for Chartered Accountants - Scotland
  • 1 CPD Credit for CPA - Ireland

Additional details

  • Course Level :
  • Credits :
  • Instructional Method :
    QAS Self Study
  • Pre-requisites :
  • Advance Preparation :


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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

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 to sign up for our monthly newsletter and learn more about PlanAssure, our exclusive 12-point plan governance process.


FAQs content

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Ratings and Review


358 Ratings



Very Good









Kyle Minges, CPA (US)

Jun 15th, 2022



Jameela Almuharrami

May 25th, 2022



Bonnie Frawley, CPA (US)

Apr 20th, 2022

The questions were not clear &/or worded comprehensibly.


Thuong Hoang, CPA (US)

Feb 19th, 2022



Lillian Antunez Antunez, CPA (US)

Feb 10th, 2022

It was OK

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