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Navigating Through The New 403(b) Regulations and Plan Audit Requirements

As of August 31, 2010, most large 403(b) plans had not filed their Form 5500 (or financial statement audit). What happens if the Form 5500 is not filed on time? We examine this and take a walk down memory lane in our presentation, Navigating Through The New 403(b) Regulations and Plan Audit Requirements. Included are questions and answers and a look at the good, the bad, and the ugly with the experience of December 2009 plan year ends.

Also covered are 403(b) Plan Audit Requirements and the factors of what makes an audit required. We also look at Auditors' Reports dealing with the inability to audit opening balances, excluded contracts, and comparative statements as well as fiduciary responsibilities and plan governance best practices.

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