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...

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...

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...

Mergers, acquisitions and 401(k) plans: What plan sponsors need to know

by cpaadmin | Aug 15, 2025 | Merger & Acquisitions

When your company is acquiring or merging with another, the due diligence process doesn’t stop at financials or operations. The target company’s retirement plans—especially their 401(k)—carry risks, responsibilities, and decisions that can impact both compliance and...

What is a 401(k) plan audit and why might you need one?

by cpaadmin | Apr 15, 2025 | 401k Plan Audit, Regulations & Policies, Uncategorized

If you sponsor a 401(k) plan for your employees, you’ve probably heard talk about retirement plan audits. Maybe someone told you you’ll need one once you hit 100 participants… or was it 120? Eligible? Contributing? It’s confusing, we get it.  The good news? You’re not...