CPE Course Audits of 401(k) Plans: New Developments and Critical Issues for an Effective and Efficient Audit

June 26, 2018

8:30am — 4:15pm

Location Manchester

Member Price $279.00
Non-member Price $379.00

Curriculum Accounting & Audit

Field of Interest Auditing

Level Beginning

Designed For

Practitioners responsible for planning and performing employee benefit plan audit engagements


One of the most favored employee benefit plans, the 401(k) plan, provides unique challenges for auditors. Obtain an understanding of the rules and regulations unique to employee benefit plans with the practical guidance provided by this course. Auditors will enhance their knowledge through real world examples, best practices and efficient audit techniques that can be utilized in various audit engagements. Make sure your audits don’t trigger a DOL inspection by conforming to all applicable rules and regulations.

* Properly document your understanding of the plan, the environment and internal controls for an employee benefit plan
* Understand the importance of reading, reviewing, and documenting the controls in a Service Organization Control Report
* Identify potential audit triggers that may result in an inspection by the Department of Labor
* Understand the risks associated with a benefit plan audit engagement
* Avoid common mistakes noted during peer reviews


* Learn how to properly plan your benefit plan audit engagement and develop an audit strategy while improving overall efficiency
* Find out how to avoid common pitfalls in planning and detailed audit procedures
* Annual update of the changes affecting 401(k) plans 
* Description of common mistakes as noted in peer reviews and DOL inspections


Curtis J. Quickel, CPA

Curtis Quickel is an individual practitioner in Fayetteville, Arkansas. Before establishing his own practice, he worked several years in industry as a corporate controller. As a retired Lieutenant Colonel from the U.S. Army Reserves, he taught courses at the U.S. Army Command and General Staff College in Ft. Leavenworth, Kansas. He also completed three combat tours in Iraq, Kuwait, and Afghanistan. He is a past president of the Central Chapter of the Arkansas Society of CPAs and Past Chairman of the Industry and Commerce Committee. Curt is a past recipient of the Arkansas Society of CPAs Outstanding CPA in Government Award. He has been a Continuing Professional Education discussion leader since 1998.close


Basic understanding of auditing defined contribution plans


Surgent McCoy CPE, LLC

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