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Employee Benefit Plans Conference 2017


EBP1720 - Using a SOC 1 Report in an Employee Benefit Plan Audit


May 8, 2017 4:10pm ‐ May 8, 2017 5:25pm

Standard: $49.00

Description

This session will address how SOC 1 reports are used within an EBP Audit. Facilitators recommend bringing your laptop to this session to fully participate in the case study.

Attendees will understand:

  • How SOC 1 reports are used to obtain an understanding of internal control over financial reporting in an EBP audit
  • How SOC 1 reports impact risk assessment and planned nature, timing, and extent of substantive audit procedures
  • Common issues auditors deal with in evaluating SOC 1 reports (e.g. report qualifications, carve-outs, exceptions)
  • How to determine which controls are key user entity controls and testing their operating effectiveness
  • How the evaluation and use of service organization reports are documented in an audit as well as other documentation considerations/best practices

Speaker(s):

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