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Tax and Compliance Issues for EBP Auditors
Employee Benefit Plans

Tax and Compliance Issues for EBP Auditors

Learn how to navigate issues frequently encountered by finance professionals handling 401(k) audits.

$109 - $131
Do you have an AICPA membership? Log in to apply your member discount.




Nov 15, 2022

NASBA Field of Study




CPE Credits



Judy Goldberg


3 months

Product Number


 Business & partner 
Product Details

Auditing a 401(k) plan's financial statements under GAAS

With an increasing number of millennials investing in a 401(k) plan, and millions of others retiring each year, now is the perfect time to tackle any auditing hurdles.

Join this webcast to learn:

  • Common tax and compliance issues encountered by finance professionals handling 401(k) audits
  • Generally accepted accounting standards specific to EBPs
  • Steps to take should you discover noncompliance

Key Topics

  • Auditing
  • 401(k) plans
  • Tax and compliance issues
  • IRS, ERISA and DOL legislation
  • Noncompliance procedures

Learning Outcomes

  • Determine the auditor's responsibility for tax and compliance issues in an audit of a 401(k) plan's financial statements under GAAS.
  • Analyze common tax and operational issues and their impact on the plan's financial statements and the audit.
  • Identify self-correction steps a plan can take as well as current relief programs available to the plan sponsor through the IRS and DOL.
  • Determine appropriate financial statement disclosures and auditor responsibilities for reporting noncompliance matters with management and those charged with governance.

Who Will Benefit

  • EBP auditors and providers
  • CPAs and CGMA designation holders
  • Accounting and finance professionals
Credit Info
CPE Credits
NASBA Field of Study
Accounting, Auditing
Prior experience performing employee benefit plan audits
This is a digital product. With full paid access the content will be available to you for 3 months after purchase date.
2 hrs
For more information, please refer to CPE requirements and NASBA sponsorship information
Do you have an AICPA membership? Log in to apply your member discount.
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Contact us
Judy Goldberg
Judy is an Executive Director in EY’s Assurance Professional Practice and has been the National Director of the EBP practice since 2007. She has worked at EY over 28 years. She resides in Houston, Texas and has specialized in employee benefit plan audits since 1993. She is the current Chair of the AICPA’s Employee Benefit Plans Expert Panel and serves on various AICPA EBP task forces, including the AICPA Audit Guide Revisions Task Force and the Audit Risk Alert Task Force. Judy received her BBA from the University of Texas at Austin. She is a Certified Public Accountant and a Certified Employee Benefit Specialist.

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Tax and Compliance Issues for EBP Auditors
Nov 15, 2022
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Nov 15, 2022
6pm8pm GMT
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