Retirement Plan Audits: Staying Compliant and Avoiding Costly Corrections

May 29, 2014
by Pamela Branshaw, CPA, CEBS, Holly Kohl, CPA, Brian Walczak, CPA, Sandy Friess, CPA

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Pamela Branshaw Pamela Branshaw, CPA, CEBS
Employee Benefits Services Leader

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Holly Kohl Holly Kohl, CPA
Senior Manager

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Brian Walczak Brian Walczak, CPA

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Sandy Friess Sandy Friess, CPA

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We know you are looking for your retirement plan audit to be smooth and efficient. To that extent, we have brought together our subject matter experts to answer your most pressing questions and bring you best practices for staying compliant and avoiding added expenses related to your audit.

This 1.5-hour recorded webinar is packed with valuable information for the best outcome of your next audit. Topics include:
  • What are internal controls, and why do I need them for operating our retirement plan?
  • As the plan sponsor, how should I be selecting vendors and monitoring the plan recordkeeping and reporting functions?
  • What is the TPA’s SOC 1 report and as the plan sponsor, what do I need to do with it?
  • Why is the audit information request list so important to the audit process?
  • What does fiduciary responsibility mean and how does it apply to me as the plan sponsor?
  • If we find errors in our employee benefit plan, what does the IRS require us to do to fix those errors, when should we consult an ERISA attorney, and what are the repercussions if we don’t fix the errors?
  • What triggers a Department of Labor audit?

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