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Breakfast Forum: Demystifying the Plan Audit Process – What Are the Auditors Really Doing?

  • Thursday, January 18, 2018
  • 7:30 AM - 9:45 AM
  • Andrei's Restaurant, 2607 Main Street, Irvine
  • 1


  • Early Bird pricing
  • Early Bird pricing

Registration is closed

Demystifying the Plan Audit Process –

What Are the Auditors Really Doing?

 The Presentation:

The speakers will review a typical engagement letter, management representation letter and comment letter identifying internal control deficiencies.  The goal of the presentation will be to better understand what auditors are doing when they audit a plan. The objectives will be:

· Understand what the employer’s and the auditors’ responsibilities are in connection with a plan audit

· Hear what representations the employer will be required to make and why the auditors require them

· Learn how to evaluate internal control deficiencies identified by the auditors   

 Our Speakers: 

Cyndi LeBerthon  As LTSP’s Quality Control Director, and a Partner in the Firm’s audit department, Cyndi is responsible for planning and supervising audit and review engagements in a wide range of industries, including distribution, manufacturing, professional service, technology and hospitality. She also has etensive experience in employee benefit plan audits for both private and public companies.  She is a member of the Peer Review Committee of the California Society of Certified Public Accountants which has oversight of peer reviews performed in California, Arizona and Alaska under the AICPA Peer Review Program.  She is also one of less than 100 California CPAs approved to conduct Peer Reviews for the AICPA’s National Peer Review Committee.

 Alison Smith Fay is a Partner of Boutwell Fay LLP in Irvine, California.  Alison represents employers in all aspects of employee benefit matters, with an emphasis on tax-qualified retirement plans, nonqualified deferred compensation plans and health and welfare plans.  A significant portion of her practice is representing clients before the Internal Revenue Service and the Department of Labor.  Alison is a graduate of Hastings College of the Law where she was a member of the Hastings Law Journal and Order of the Coif.  She is also a graduate of Stanford University with a degree in Political Science.

  Continuing Education: 

2 CE for AIF Certification (pending)
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 9:45 a.m.  The registration fee includes a full breakfast buffet and hosted valet parking.

The reservation deadline for this event is Thursday, January 11.

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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