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EBPAQC 401(k) Basics: Part 1 - Introduction and Planning
Audit & Assurance

EBPAQC 401(k) Basics: Part 1 - Introduction and Planning

In the first of this four-part webcast series, you will learn a wide range of essential information concerning the layout and correct auditing of 401(k) plans.

$118 - $142
Do you have an AICPA membership? Log in to apply your member discount.




Apr 27, 2023

NASBA Field of Study




CPE Credits



Marilee Lau


3 months

Product Number


 Business & partner 
Product Details

Gain confidence in conducting 401(k) audits

Conducting audits on company 401(k) plans is a constructive way to achieve maximal employee gain while ensuring the company's legal compliance. A successful 401(k) audit promotes a healthy future for both.

This webcast will guide you in:

  • Understanding the structure of a 401(k) plan
  • Identifying standard documentation
  • Learning business-specific issues to be tackled

Key Topics

  • Auditing
  • 401(k) plan structure
  • Standard 401(k) plan documents
  • Key plan officials
  • Service providers
  • Unique issues

Learning Outcomes

  • Recall basic information about 401(k) plans and their function.
  • Identify standard 401(k) plan documentation.
  • Distinguish unique issues present when planning 401(k) plan audits.

Who Will Benefit

  • CPAs
  • CGMAs based in the U.S.
  • Accounting and finance professionals
  • Auditors new to 401(k) plan auditing
Credit Info
CPE Credits
NASBA Field of Study
This is a digital product. With full paid access the content will be available to you for 3 months after purchase date.
For more information, please refer to CPE requirements and NASBA sponsorship information
Do you have an AICPA membership? Log in to apply your member discount.
AICPA Members

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6+ registrants

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Contact us
Marilee Lau
Marilee provides consulting services and teaches various educational programs on accounting and auditing for employee benefit plans. Before retiring in 2009, Marilee was the National Partner in Charge of KPMG's Employee Benefit Plan Audit Practice. Marilee Lau is a founding member and former Chair of the AICPA Employee Benefit Plan Audit Quality Center's Executive Committee which was established in 2004. Marilee is currently the AICPA's representative to the DOL's ERISA Advisory Council. She has served on the AICPA's Employee Benefits Plans Experts Panel and is the current chair of the EBP Audit Guide Overhaul Task Force. Marilee is also on the Advisory Board for the Bureau of National Affairs Pension & Benefits Reporter which provides input on various pension issues and is currently serving on the Accountants Committee for the International Foundation of Employee Benefit Plans. She is a member of the AICPA, California Society of CPA's, and the International Foundation of Employee Benefit Plans and a frequent speaker for numerous professional conferences and programs. She is a graduate of Santa Clara University with a BS in economics and an MBA in accounting.

The Association is dedicated to removing barriers to the accountancy profession and ensuring that all accountancy professionals and other members of the public with an interest in the profession or joining the profession, including those with disabilities, have access to the profession and the Association's website, educational materials, products, and services.The Association is committed to making professional learning accessible to all product users. This commitment is maintained in accordance with applicable law. For additional information, please refer to the Association's Website Accessibility Policy. As part of this commitment, this product is closed-captioned. For additional accommodation requests please contact and indicate the product that you are interested in (title, etc.) and the requested accommodation(s): Audio/Visual/Other. A member of our team will be in contact with you promptly to make sure we meet your needs appropriately.

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EBPAQC 401(k) Basics: Part 1 - Introduction and Planning
Apr 27, 2023
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Apr 27, 2023
5pm7pm GMT
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