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Certifications: A Deeper Dive - Not as Shallow as you Think


May 5, 2020 1:40pm ‐ May 5, 2020 2:55pm


Credits: None available.

Description

The plan administrator has determined that a ERISA 103(a)(3)(c) audit is permissible. What can you do to make sure the audit is shipshape? This session will help participants effectively navigate an audit that relies on certified information.

Learning Objectives:
  • Explain the role of the certifying entity, plan administrator and auditor in a ERISA 103(a)(3)(c) audit
  • Recognize when a certification meets the requirements of applicable DOL regulations
  • Assess whether the certified investment information is appropriately measured, presented, and disclosed in accordance with GAAP
  • Recognize red flags that may require you to challenge aspects of the certified investment statements and apply effective next-steps

Speaker(s):

  • Peggy A. Bradley, BA, Senior Vice President | Client Business Solutions, Northern Trust
  • Kizzy Gaul, Esq., Manager, Regulatory Supervision, Prudential Retirement

Credits

Credits: None available.

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