AUD02 Requirements of the SEC, PCAOB, GAO, DOL

DOL Rules – An accounting firm should not be connected to a Plan or Plan Sponsor as:

DOL Rules – Can an accounting firm maintains a plan’s accounting records?

DOL Rules: – When a plan’s or plan sponsor’s employee joins an accounting firm, what actions should be taken to ensure independence is not impaired?

DOL Rules: – DOL standards are outdated compared to AICPA, PCAOB, SEC, GAO rules. Who is a member under DOL rules?