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11-K Audits
Employee Benefit Plans
Webcast

11-K Audits

Learn what you need to know to perform an 11-K audit engagement.

$225 - $269
Do you have an AICPA or CIMA membership? Log in to apply your member discount.

Format

Webcast

Date

May 27, 2027

NASBA Field of Study

Auditing

Level

Intermediate

CPE Credits

4

Instructor

Charlie Hollingworth, Debbie L. Smith, Erin Breit, Sandi Carrier

Availability

3 months

Product Number

WC5522316

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 Business & partner 
Product Details

11-K audits are different from standard 401(K) plan audits. In addition to the ERISA, DOL, and AU-C requirements applicable to 401(k) plan audits, 11-K auditors must comply with SEC and PCAOB requirements. These include additional audit and ethics standards that must be followed, a different auditor’s report, and a separate filing deadline. Learn what you need to know to perform a quality 11-K audit engagement.

This webcast helps prepare EBP auditors for the upcoming 11-K audit season, including discussions of:

  • 11-K fundamentals, including reporting requirements
  • Recent reporting and auditing developments
  • PCAOB areas of focus

The webcast will also provide an opportunity to ask questions of 11-K audit experts.

Key Topics

Key Topics:

  • 11-K basics, including reporting requirements
  • Recent reporting and auditing developments
  • PCAOB areas of focus

Learning Outcomes

  • Determine and analyze 11-K reporting, filing, and audit requirements.
  • Apply new auditing, accounting, and reporting requirements.
  • Identify the PCAOB's areas of focus for the coming audit season.

Who Will Benefit

11-K plan auditors

Credit Info
CPE Credits
4
NASBA Field of Study
Auditing
Level
Intermediate
Prerequisites
Experience in EBP auditing
Access
This is a digital product. With full paid access the content will be available to you for 3 months after purchase date.
Duration
2 hrs
For more information, please refer to CPE requirements and NASBA sponsorship information
Pricing
Do you have an AICPA or CIMA membership? Log in to apply your member discount.
Nonmembers
$269.00
AICPA Members
$225.00
CIMA Members
$225.00

Group ordering for your team

2 to 5 registrants

Save time with our group order form. We’ll send a consolidated invoice to keep your learning expenses organized.

Start order

6+ registrants

We can help with group discounts. Email client.support@aicpa-cima.com
US customers call 1-800-634-6780 (option 1)

Contact us
Speakers
Charlie Hollingworth
Charlie is an audit partner in the firm’s benefit plan services group with over twenty years of experience helping clients meet the regulatory requirements of the Department of Labor (DOL), Internal Revenue Service (IRS), and U.S. Securities and Exchange Commission (SEC) relating to their employee benefit programs. He supervises audit, consultation, and compliance services for qualified retirement plans, including defined contribution and benefit plans, and health and welfare plans.
Debbie L. Smith
CPA
Debbie is a partner in Grant Thornton LLP's national professional standards group, specializing in employee benefit plan assurance. She has over 35 years of experience in auditing benefit plans and has practiced exclusively in this area for almost 30 years. Debbie is the current chairman of the Executive Committee of the AICPA's Employee Benefit Plan Audit Quality Center and is a past chairman of the AICPA Employee Benefit Plans Expert Panel. She served a three-year term on the U.S. Department of Labor's ERISA Advisory Council and also served multiple years on the Technical Standards Subcommittee of the Professional Ethics Committee. Debbie represents Grant Thornton through her continued active involvement in various AICPA committees and task forces, and she is a frequent speaker at industry conferences on employee benefit plans. Debbie is a member of the AICPA, the Illinois Certified Public Accountants Society, and earned her B.B.A. in Accounting from Loyola University of Chicago.
Erin Breit
Erin Breit is a partner in BDO’s ERISA Services Practice and has been with BDO since 2020. Erin started in public accounting in 2004 and began devoting her full attention to the Employee Benefit Plan in 2006. She has worked extensively with defined contribution plan and defined benefit plans, including 5500 preparation and works closely with her clients to help them navigate through complexities such as a change in service provider, plan mergers, spin- offs and terminations. Erin is a member of the AICPA Employee Benefit Plan Expert Panel.
Sandi Carrier
CPA
Sandi is an Managing Director with Deloitte & Touche LLP where she is the audit industry leader for the employee benefit plan practice. She currently serves on the AICPA Employee Benefit Plan Executive Committee and assists numerous AICPA Task Forces. Sandi has 25 years experience serving employee benefit plan audit clients including 401(k), 11Ks, ESOPS, pension plans, health & welfare plans and multi-employer plans. Sandi has an undergraduate degree from Michigan State University and an M.B.A. from Wayne State University.
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