Initial Plan Audits

Session Date: 
May 8th, 2017 - 2:25PM3:40PM


Discover the audit requirements and best practices for auditing a plan for the first time, whether it is the first audit of the plan or it was audited by another firm in the past.

This session will cover: 

  • Client acceptance
  • Predecessor auditor inquiry
  • Predecessor work paper review
  • First year requirements 
  • Best practices in first time audits  
  • What to do when you uncover an error in the prior year

Field of Study:

Session Type:

Skill Level:

Speaker(s) Speaker Details Session(s)
Shannon Black CPA, CMA, CEBS, Managing Partner and Co-Founder, Black & Pinckard LLC, Birmingham, AL 16, 63
Josie Hammond CPA, National Director of Employee Benefit Plan Services, RSM US LLP, Madison, WI 209, 16, 60

Field of Study Legend

Behavioral Ethics
Business Management & Organization
Personal Development
Specialized Knowledge

Skill Levels Legend

L1 - Level 1
L2 - Level 2
L* - Level 1 & Level 2