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What the DOL Expects of Auditors and What Can Go Wrong

  • Thursday, January 19, 2017
  • 7:30 AM - 10:00 AM
  • Andrei's Restaurant, 2607 Main Street, Irvine
  • 2


  • Early Bird pricing
  • Early Bird pricing

Registration is closed

What the DOL Expects of Auditors and What Can Go Wrong

 Our Presentation:

Following the issuance of the DOL’s report on audit quality in May 2015, the CPA profession and service providers to the employee benefit plan community have responded with a strong focus on addressing the deficiencies identified and improving audit quality. Additionally, the DOL has made it clear as to what they expect from plan auditors. 

Specific discussion topics include:

· What does the DOL expect of auditors?

· How are plan audits changing?

· What changes can be expected in EBP practice peer review?

· What can plan sponsors and plan service providers do to improve audit quality?

 About Our Speakers:

  • Miguel Parades is a Supervisory Investigator with the Department of Labor – Employee Benefits Security Administration, in the Los Angeles Regional Office. Miguel joined the agency as an Investigator in 2005 and since then has been very involved in the Office's complex and high profile investigations, including cases involving financial service providers and complex financial products. Prior to joining the Department, Miguel was a senior investigative auditor at MassMutual Financial Group, a senior brokerage services representative at Washington Mutual Bank’s broker-dealer, and a financial consultant at The MONY Group.
  • Cyndi LeBerthon, CPA Partner,  joined LTSP, Inc. in 2003 after spending several years in private industry. As a Partner in the Firm’s audit department, she is responsible for planning and supervising audit and review engagements in a wide range of industries, including distribution, manufacturing, technology and hospitality. She also has extensive experience in employee benefit plan audits for both private and public companies.                
Who should attend this program?

    Auditors who are looking for an excellent advanced plan audit education forum of their peers

    Financial Advisors who want to know more about plan audits and whether they can play a role in helping plan sponsor clients in the audit process help

    Plan Fiduciaries who want to know more about the implications of plan audit findings

    Record keepers who would like to make sure they are effectively providing timely plan audit information

    Service Providers (third-party administrators& consultants) who want the latest information about DOL audit expectations and how auditors are going about fulfilling them

    All Benefits Professionals who are interested in participating in a high-quality educational forum and want to benefit from the knowledge and experience of other benefits professionals in the range County benefits community.

     Continuing Education: 
    2 CE for ASPPA certifications
    2 CEC for NIPA certifications
    2 CPE for CEBS
    1.75 hours MCLE for California attorneys
    2 hours for California CPAs
    2 hours for Certified Financial Planners
    2 hour for ERPA and Enrolled Agents

    Doors open at 7:30 a.m. for check-in, breakfast and networking.  Our program will begin at 8:00 a.m. and this program will end at approximately 10:00 a.m.  The registration fee includes a full breakfast buffet and hosted valet parking.

    The reservation deadline for this event is Thursday, January 12.

    WP&BC Members can bring a guest for free!  This is a wonderful opportunity to introduce your peers and colleagues to our Chapter.  Remember, your guest should be a first-time visitor and potential member.   Look for the free guest offer when you register online

    The statements and materials presented at WP&BC Orange County Chapter events are solely the opinions of the speakers and do not represent the opinions or positions of WP&BC Orange County Chapter. In addition, WP&BC Orange County Chapter assumes no responsibility for the content or accuracy of the statements and materials presented by speakers at WP&BC Orange County Chapter events.

    Please feel free to reach out to WP&BC with any questions.

    Direct Questions To:

    Christine Stewart,
    Chapter Administrator


    (949) 407-9128


    Orange County Chapter
    PO Box 6111
    Garden Grove, CA 92846

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