EBP audit client planning meeting tool
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EBP audit client planning meeting tool

4 years ago · 87.9 KB Download

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This non-authoritative EBPAQC tool may be used by firms in planning and summarizing meetings with employee benefit plan audit clients. It is intended to be used as a data collection tool to assist in the planning process. It should be populated with prior year client information in advance of the client meeting and then updated and completed during or after the meeting, including:

  • Comments or observations from the prior year audits to discuss before discussing the current year

  • Significant changes to the plan and operations during the period

  • Changes in the plan sponsor organizations that affected the plan

  • Operational or other issues noted during the period

  • Communications from regulators

  • Financial statements

  • Expected changes to audit strategy

  • Timing

  • Required communications

This tool is for planning purposes only and is not intended to be a permanent part of the firm’s audit documentation under AU-C section 230, Audit Documentation.

Download the EBP Audit Client Planning Meeting Tool

File name: ebp-audit-client-planning-meeting-tool.docx

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