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Breakfast Forum:Retirement Plan Audits – Basics, Best Practices and Upcoming Changes

  • Thursday, January 16, 2020
  • 7:30 AM - 9:45 AM
  • Andrei's Restaurant, 2607 Main Street, Irvine
  • 0


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Retirement Plan Audits – Basics, Best Practices and Upcoming Changes

The Presentation:

Our speakers will be providing a broad view of the plan audit process that includes:

  • Plan audit basics – When is an audit required? What does an audit entail? What is the typical process?
  • Audit best practices - from the plan sponsor, auditor and service provider perspective.
  • Upcoming changes in 2020

Our Speakers:

Nicole Aguilar - Employee Benefit Plan Manager, CliftonLarsonAllen LLP

Nicole is a manager with more than four years of experience with the employee benefit plan practice where she focuses on providing assurance services to plan sponsors and third-party administrators. Nicole enjoys auditing employee benefit plans because she feels she is providing a valuable service to the plan sponsor and the plan’s participants. Nicole has a Bachelors of science degree from University of California State Polytechnic University, Pomona.

Karlye Broten, CPA, RPA- Principal Employee Benefit Plan, CliftonLarsonAllen LLP

Karlye is a principal within the employee benefit plan industry with more than nine years of experience in public accounting. Karlye has served a diverse group of clients specializing in audit services for defined contribution benefit plans, defined benefit pension plans, and health and welfare plans as well as 5500 preparation, Affordable Care Act reporting and benefit related consulting engagements. Karlye graduated from the College of Saint Scholastica, Duluth, Minnesota with a Bachelor of arts in accounting and finance.

Who should attend:

Auditors who want both refresher and advanced audit practice input, including changes in audits that are on the horizon

Financial Advisors who want to know more about plan audits and how they can facilitate successful audits

Plan Fiduciaries who want to know more about how plan audits work and how they can best prepare for audits and avoid audit problems

Record keepers who would like to have more information about how they can facilitate plan audits and what audit changes are coming, so they can prepare for them

Service Providers (third-party administrators& consultants) who want information about plan audit issues and upcoming audit rules changes

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 Orange County benefits community.

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 (pending)

2 hours for CRPS  (pending)

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 Friday, January 9.

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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