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Sessions | Instructor | Event Registration |

Event Information

Limited-Scope Audits of 401(k) Plans Webcast | 4203269C STARTS AT 6:30 AM PDT
Date: August 25, 2020
Event Start time: 6:30 AM   End time: 2:00 PM
Location: Webcast

Facility: Webcast Rebroadcast


Member:       $289
Nonmember: $389

CPE Credits:

8.00 CPE: Continuing Professional Education Technical
8.00 AA: Auditing & Accounting


Auditing 401(k) Plans focuses on "limited-scope" audits that comprise over 80% of the audits filed with the Department of Labor. Take a hands-on approach to performing these engagements in a manner that complies with all professional requirements.





  • Identify the requirements CPAs should follow when performing an audit of a 401(k) plan.
  • Recognize the authoritative literature applicable to performing an audit of a 401(k) plan.
  • Become familiar with the contents of the authoritative literature.
  • Identify the trends in the profession and recognize the imminent changes to the professional landscape of performing audits of 401(k) plans.

Major Subjects:
  • Requirements to meet when the client selects the 'limited-scope' audit option
  • Testing participant data
  • AICPA Audit and Accounting Guide 'Employee Benefit Plans'
  • AICPA SAS 136 Forming An Opinion and Reporting on Financial Statements of Employee Benefit Plans Subject to ERISA



Level of Difficulty:

Field of Interest:




Designed For:

CPAs that perform limited-scope audits of 401(k) plans.


Advanced Prep:

None required but reviewing the EBP AA Guide in advance would be helpful.


Event Notes:
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