Documenting Your EBP Audit: What You Need to Know


When auditing employee benefit plan, you not only need to know auditing guidance but due to the uniqueness of these audits, you need to understand compliance requirements as well. Pairing these two together and keeping track of all documentation needed can be challenging. This course will help you identify those unique audit areas and provide various working paper examples that will assist you in understanding these specialized audit procedures and the documentation necessary to perform an audit in accordance with the applicable standards. You will work through the testing of audit areas such as participant data, contributions and contributions receivable, benefit payments, parties in interest and prohibited transactions, subsequent events, commitment and contingencies, and administrative expenses and gain knowledge of key audit deficiencies. In addition, throughout this course you will participate in group exercises which include specific working papers in order to understand what is required for documenting your audit procedures. You will gain an understanding of the audit reporting requirements, financial statements, including note disclosures, as well as the communications to those charged with governance.


Wednesday, June 13, 2018
Registration Time: 8:00am
8:00am – 4:00pm

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Course Type

On-line Live Vendors

CPE Credit

8.00 hours CPE credit

Field of Study


Level of Knowledge




Advanced Preparation



 Audit planning

 Toolkit items for the EBP Auditor

 Documentation Practices - Statement of net assets available for benefits

 Key audit area in the statement of changes in net assets available for benefits

 Participant data an dparticipant accounts

 Other audit area initial audits, plan mergers and other issues


When you complete this course you will be able to:

 Identify audit areas unique to employee benefit plans.

 Recall procedures for the specialized audit areas.

 Recognize the documentation necessary to perform a quality audit.

 Distinguish between the documentation requirements on an employee benefit plan audit compared to a financial statement audit.


N/A (This is a webcast)
Member Fee $249.00
Non-Member Fee $319.00
Your Price $319.00

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