Overview of Retirement Plan Audits through Plan Governance

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Course Description
Course Qualification
Presenter
FAQ

Course Description

Overview

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.

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 :

Basic
Credits :

1
Instructional Method :

QAS Self Study
Pre-requisites :

None
Advance Preparation :

None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

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

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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.
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