Peer Review Part I

Wednesday, May 16, 2018 - 9:45am11:00am

This session will address new and recent changes to peer review guidance related to the reviews of employee benefit plan engagements. Attendance of both Parts I and II will meet the annual peer review training requirement for reviewers of EPB must select engagements. These sessions are designed to be interactive with ample time for peer review participants to discuss specific issues related to conducting reviews, using the EBP checklist, and resolutions of real-life EBP audit findings. Presentation is primarily geared to Peer Reviews and not those practitioners undergoing a peer review.
Presenters will provide:
• Updates about recent or upcoming changes to Peer Review Guidance related to EBP audit engagements
• Insight from DOL quality reviews
• Updates on the Enhanced Oversight Program and common issues identified
• Recent changes related to the Peer Review Employee Benefit Plan Audit Engagement Checklist including the bolded questions.
• In order to reinforce the topics covered, this session will include hands-on application of learning objectives using case studies

At the conclusion of these session participants will:
• Interpret guidance for reviewers for EBP must select engagement
• Assess ramifications of the bolded questions on the EBP checklist
• Evaluate and predict DOL quality review findings

Please note: Peer Reviewers may satisfy the annual EBP Must-Select training requirement only by attending both sessions

Knowledge Level:


Field of Study:

Session Type:

CPE Credit: 
Extensive qualified retirement/ERISA plans/employee benefit plan knowledge or experience.
Advanced Preparation: 
Speaker(s) Speaker Details Session(s)
Marcus Aron CPA, CGMA, Senior Auditor, U.S. Department of Labor (EBSA), Washington, District of Columbia 101, 27, 34, 204
Marilee Lau CPA, Sole Practitioner, Marilee Lau CPA, Kentfield, California 101, 16, 27, 34
Thomas Parry CPA, Partner, Navolio & Tallman LLP, San Francisco, California 27, 34