February 25, 2020 8:00am – 3:30pm Map & Directions 602-252-4144

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

Online registrations are currently closed, please call (602) 324-6847 for additional registration options


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.


ASCPA Learning Center
4801 E Washington St Ste 180
Phoenix, AZ 85034-2040

Registration Time



Non-CPA Staff:
Non-CPA Staff (100% club):
Non-CPA Staff (sole proprietor):
Accounting & Auditing


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

Course Level



Surgent McCoy CPE, LLC More With This Vendor

Designed For

Practitioners responsible for planning and performing employee benefit plan audit engagements


Basic understanding of auditing defined contribution plans

Event Leaders

Quickel, Curtis

Rating: 4.28

Curtis Quickel is an individual practitioner in Fayetteville, Arkansas. Since 1998, he has traveled the US teaching Continuing Professional Education courses to thousands of CPAs for the AICPA and others. Before establishing his own practice, he worked several years in industry as a Corporate Controller. After 9/11 Curtis spend 9 years on Active Duty with the US Army completing three combat tours to Afghanistan, Iraq and Kuwait. In 2013 Curt retired as a Lieutenant Colonel with a total of 33 years of Active and Reserve service. 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 also a past recipient of the Arkansas Society of CPAs Outstanding CPA in Government Award.

More With Quickel, Curtis


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

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