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Free Resources: 
A collection of our best 401(k) Audit resources.


401k-audit-bookGuide to 401(k) Audits - Am I required to have a 401(k) audit? How much does a 401(k) audit cost? How can I best prepare for a 401(k) audit? Learn more in this free guide.





SummitCPA's 401(k) Audit Brochure - The exact process that Summit CPA Group follows when we perform a 401(k) audit for our clients.





401(k) Audit Consultation - Request a free, 30-minute consultation with our 401(k) audit expert, Kimberly Moore.




External Resources

401k Audit Articles

What is a 401(k) Plan Census?

In the first part of any Plan year, your record-keeper will routinely ask you to prepare or review something called a Plan Census.  A plan census is a document that contains pertinent...Read more

SOC Reports-Why It’s Important to Your 401(k) Plan

What is a SOC Report? It’s a Report on Controls at a Service Organization Relevant to User Entities’ Internal Control over Financial Reporting. Many third-party providers such as record keepers,...Read more

Limited Scope Asset Certification

What should you do when your retirement plan auditor asks, “Can your plan audit be conducted using the ERISA limited scope provision?”  First, verify who the asset holder/custodian/trustee is...Read more

What is a Limited Scope Audit?

One of the first questions you will be asked when you need an audit of your 401(k) Plan is:  “Can I have the audit completed as a limited scope audit?” ERISA (the Employee Retirement Income...Read more

Streamline Your 401(k) Audit

Business owners that offer retirement plans to their employees already have a lot on their plate doing the day-to-day operations. Hiring an inexperienced auditor will only take up more of that...Read more