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Note

      8  Chapter 7: Health and Welfare Plans Defined contribution versus defined benefit Challenges in auditing a health and welfare plan Components of the financial statements of a welfare benefit plan Unique features of a health and welfare benefit plan Disclosure requirements Reporting requirements

      9  Chapter 8: Other Auditing Considerations Related party and party in interest transactions Prohibited transactions Untimely deposits of employee deferrals ERISA supplemental schedules Form 5500 information consistency with financial statements Tax status Auditing corrective actions Certified information Investment confirmations Going concern

      10  Chapter 9: Wrapping Up Commitments and contingencies Subsequent events Representation letter from management Communication of internal control-related matters identified in an audit Management advice letter considerations Communication with those charged with governance

      11  Appendix A: Illustrative Financial Statements and Disclosures for a Defined Contribution Plan With Participant-Directed and Nonparticipant-Directed Investment Programs

      12  Appendix B: Illustrative Financial Statements and Disclosures for a Defined Benefit Plan Assuming an End-of-Year and Beginning-of-Year Benefit Information Dates Notes

      13  Appendix C: Illustrative Financial Statements and Disclosures for a Health and Welfare Plan Notes

      14  Appendix D: Illustrative Supplemental Schedule of Assets Notes

      15  Appendix E: Illustrative Supplemental Schedule of Reportable Transactions

      16  Appendix F: Illustrative Example of an Engagement Letter for a 401(k) Employee Benefit Plan Audit Engagement Notes

      17  Appendix G: Small Pension Plan Audit Waiver Decision Tree

      18  Appendix H: Report Modifications Chart Notes

      19  Appendix I: Pension Plan Audit Decision Tree Note

      20  Appendix J: Illustrative Supplemental Schedule of Delinquent Participant Contributions

      21  Employee Benefit Plans Glossary

      22  Index

      23  Solutions Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5 Chapter 6 Chapter 7 Chapter 8 Chapter 9

      24  End User License Agreement

      Guide

      1  Cover

      2 Table of Contents

      3  Begin Reading

      Pages

      1  i

      2  ii

      3  1-1

      4  1-2

      5  1-3

      6 1-4

      7  1-5

      8 

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