Firm preparedness checklist tool
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Firm preparedness checklist tool

1 year ago · 118.2 KB Download



This non-authoritative EBPAQC tool assists firms in assessing their preparedness for the ERISA audit season and enhance the quality of their firm’s ERISA audit practice. It addresses:

  • The firm’s quality control policies and procedures related to the ERISA audit practice

  • Inventory and assessment of the firm’s current ERISA audit clients

  • Client review and risk analysis

  • Reporting requirements and deadlines

  • Staffing, training, and scheduling requirements

  • Audit tools and resources

  • Consideration of common audit deficiencies

  • Performing self-inspections of ERISA audits

Download the Download the Firm preparedness checklist

File name: firm-preparedness-checklist.docx

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