No audit? Your 401(k) plan is fine… probably. (Here’s how to tell).

by cpaadmin | Jan 15, 2026 | 401k Compliance

A practical guide to Agreed-Upon Procedures (AUPs)   Just because you don’t need a 401(k) plan audit doesn’t mean you shouldn’t still protect your employees and organization. That’s where Agreed-Upon Procedures (AUPs) come in—a customizable, cost-effective...

Time-saving tips from the other side of the 401(k) audit: a plan sponsor’s perspective

by cpaadmin | Dec 15, 2025 | 401k Audit Time, Preparing for a 401(k) audit

If you’ve been through a few 401(k) audits, you know the routine. But for Kyle Mishler, Director of Operations at Civiltech Engineering, Inc., audit prep isn’t just a once-a-year task—it’s part of how she stays organized year-round. We sat down with Kyle (a long-time...

Building a culture of compliance: Beyond the 401(k) plan audit

by cpaadmin | Nov 15, 2025 | 401k Compliance, Gratitude

In celebration of this season of gratitude, it’s a good time to zoom out and look at why we conduct 401(k) plan audits in the first place. Yes, audits are required by the Department of Labor (DOL) for plans with 100 or more participants with balances. Yes, there are...

Catch-up contributions for high earners: Final regulations are here

by cpaadmin | Oct 15, 2025 | Regulations & Policies, SECURE Act

Just last month, the Department of the Treasury and the IRS issued final regulations addressing the SECURE 2.0 Act provisions relating to catch-up contributions. And while we can’t offer legal or compliance advice (we’re your auditor, not your plan administrator or...

What happens after the 401(k) audit?

by cpaadmin | Sep 15, 2025 | 401k Communication, Audit Procedures

Completing your independent 401(k) plan audit is a big milestone—but it’s not the final step. Once your auditor issues the report, there are still a few key tasks to wrap up on your end as the plan sponsor. Here’s what happens after the audit is finished, what’s...