Please join us for:

AVOIDING COMMON AUDIT PITFALLS

What You Don’t Know, Can Hurt Your Plan

THURSDAY, April 17, 2014 v7:30 to 9:30 a.m.

Meet us at the Hotel Irvine*, *Same building, new name!

Doors open at 7:30 a.m. for check-in, breakfast and networking.

What will the auditors find when

 they look at your retirement plan?

This CPA panel will discuss:  

• What auditors do and what auditors do not cover, during the plan audit process

• Common deficiencies found during the audit process

• Who inside and outside of the organization do auditors communicate with, what is communicated to them and what does it mean
• How can the auditor’s judgment affect you and your plan reporting obligations
• Why the quality of the audit AND the auditor, is important to you as a fiduciary of the plan

• How can plan service providers add value to their clients during the audit process and address the issues being identified

About our Panel Leaders:

CYNDI LEBERTHON, CPA is an Audit Partner with Lesley, Thomas, Schwarz & Postma and is an integral part of developing and training the Firm’s associates in the unique compliance issues related to employee benefit plans under ERISA.  She has extensive experience with 401(k), 403(b), ESOP, Pension and Welfare Benefit Plans.  She also performs Peer Review Services of other CPA firms in accordance with the ACIPA Peer Review Program, of which the goal is to promote quality in accounting and auditing services of all CPA firms.  She is an active member of the American Institute of Certified Public Accountants and the California Society of Certified Public Accountants. She is currently serving as Treasurer for the Orange County Compensation and Benefits Association (OCCABA).

MARILYN THOMPSON, CPA, MS is an Audit and Assurance Partner with Windes.  With over 30 years of experience, she leads the firm’s ERISA audit practice which includes 401(k), 403(b), profit sharing, ESOPs and defined benefit plans for private, public and nonprofit plan sponsors. She is an active member of the American Institute of Certified Public Accountants and the California Society of Certified Public Accountants.

This program will be of particular interest to:

ü  Plan Sponsors of qualified retirement plans who want to keep up with the latest DOL requirements affecting those plans

ü  Plan Fiduciaries who want to gain a better understanding of their responsibilities.

ü  Service Providers to qualified retirement plans and 403(b) plans

ü  Financial advisors who want to enhance their ability to provide quality services to their clients.

ü  CPAs who audit qualified plans and/or advise clients regarding their qualified plans

ü  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

Continuing Education:

·         ASPPA - 1 CE Credit                   

·         CEBS – 1 CPE Credit                         

·         CFP – 1.5 Hours   

·         CPA - (CA) 1.5 Hours

·         ERPA –1 Hour         

•     MCLE -  ( California   ) 1.5 Hours
•     NIPA – 1 CE Credit
•     General Credit - 1.5 Hours

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.

Early Bird Pricing available through April 11, 2014

The Orange County Chapter of the Western Pension & Benefits Council promotes an exchange of information and ideas among employee benefits professionals.  Our members include ERISA attorneys, CPAs, third party administrators, investment industry benefits specialists, financial advisors, actuaries, benefits consultants and plan sponsors’ in-house benefits professionals.

Through the monthly breakfast forum presentations and periodic technical lunch forums, the Orange County Chapter provides a forum for dialogue between its members.  These meetings encourage full audience participation and exchange of practical solutions to technical issues.  Benefit professionals lead the meetings, with an emphasis on topics reflecting current benefit trends and regulatory guidance.

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.