Surviving a Retirement Plan Audit: Techniques and Tips for Efficient and Successful Audit Response and Outcomes - Webinar (ONLINE EVENT: June 26, 2025)

Learn how to navigate audits, reduce regulatory risk, and implement best practices.

The Department of Labor and the Internal Revenue Service are each responsible for overseeing the regulation and auditing of employee benefits plans, and both continue to ramp up investigations in recent years. Plan sponsors and fiduciaries need to be prepared to implement best practices to avoid issues raised on audit, and also need to be prepared to implement a strategy to navigate potential audits of their benefits plans. This presentation will help plan sponsors and fiduciaries understand the audit process implemented by both the Department of Labor and the Internal Revenue Service, offer pointers on how to work with investigators, and discuss strategies on how to utilize internal controls and correction programs to address issues before they are raised on audit. This presentation is critical for any employer to understand how to prevent common problems and how to interact with the government in addressing those problems on audit.

Learning Objectives

• You will be able to explain the audit processes implemented by both the DOL and IRS.
• You will be able to identify common errors raised by DOL and IRS on audits.
• You will be able to recognize red flags that may lead to government attention.
• You will be able to review plan documents and processes with best practices in mind to avoid potential audits.

Live Webinar Registration

AIPB 2.0: This program is acceptable for 2.0 CPEC(s) towards the CB designation through the American Institute of Professional Bookkeepers (AIPB).

CPE 2.0 including Specialized Knowledge 2: The provider is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. CPE Credit: Maximum Credit Hours: 2.0 each session (based on a 50 minute credit hour). You must attend at least 50 minutes to obtain credit. Field of Study: Specialized Knowledge for 2.0 hours. Prerequisite: basic knowledge of general accounting. Level of Knowledge: Intermediate. Teaching Method: Seminar/Lecture. Advance Preparation: None. Delivery Method: Group Internet Based. Please refer to the information in this brochure for outline, course content and objectives. Upon completion of this course, you will receive a certificate of attendance. Final approval of a course for CPE credit belongs with each state's regulatory board.

Please note: In order to receive CPE credit for this course you MUST use the streaming audio option, as well as enable and complete the required progress checks.

OnDemand Course

This course was last revised on October 21, 2020.

Who should attend?

This live webinar is designed for accountants, CPAs, CEOs, presidents, vice presidents, CFOs, controllers, business owners and managers, bookkeepers, tax preparers, and auditors.