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Employee Benefit Plans Conference 2019

EBP1912 - Risk Assessment and Planning Part I

May 6, 2019 2:40pm ‐ May 6, 2019 3:55pm

Standard: $49.00


This session is part 1 of 2 of working through the planning and risk assessment process for the fundamental track case study and will continue in Session #19. These sessions include consideration of SOC 1 reports and certifications for limited scope audits.

  • Recognize necessary procedures to properly plan an employee benefit plan, through utilization of an example.
  • Recall risk assessment standards and linkage to planned procedures based on risk evaluation by audit area at the assertion level, utilizing examples of documentation tools.
  • Recognize when limited-scope audits are appropriate utilizing evaluation tool.
  • Identify a SOC 1 report and recall its components' (i.e., user controls) impact on planned procedures and risk assessment by walking through a SOC 1 evaluation.


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