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.
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
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