Concurrent Session Online
EBP2106. Internal Control: Putting the Puzzle Pieces Together
Identify the various components of internal control at the plan sponsor, custodian and recordkeeper. Analyze different scenarios when one provider is utilized vs. multiple providers
Learning Objectives:
- Identify common controls related to employee benefit plan operations at the plan sponsor, recordkeeper, trustee, custodian
- Identify and test (if applicable) user entity controls from a SOC I report for a service provider
- Identify common testing approaches for testing operating effectiveness
Date/Time
May 3
1:50 PM–3:05 PM
CPE Credits
1.5
NASBA Field of Study
Auditing
Level
Intermediate
Prerequisites
3-5 Years in the Profession
Advanced Preparation
None
