IRA Audit and Compliance

Don’t miss this Webinar to get the most up-to-date information on IRS Regulations.

One of your longtime IRA accountholders calls to ask you a question regarding his IRA beneficiary designation. When you open his folder, you realize you don’t have a record of a beneficiary designation. You calmly tell him you will call him back after doing further “research”. Panic sets in as you open other IRA folders and find missing documentation in some of those folders. It is now time to audit your IRA files. The best time to do this is when your customer/member is still alive! He may have to sign some missing forms.  2014 IRA Cost of Living Adjustments will be included pending their release.


  • Forms the accountholder should receive
  • Forms required to be maintained by the financial institution
  • Auditing the IRA department, forms and procedures
  • Review of IRA IRS reporting
  • Corrections to IRS reporting
  • The most common IRA mistakes made by financial institutions
  • 2014 IRA Cost of Living Adjustments (pending)


Any employee responsible for IRA supervision, maintaining IRA files and internal auditors who want to learn the target areas of incorrect IRA file compliance.


Patrice M. Konarik, CFP, is president and founder of Sunwest Training Corp. located in the Texas Hill Country near San Antonio, Texas. With over 30 years experience in the financial industry, Patrice has focused her expertise on the retirement and new account areas and is currently providing live training and Webinars on these subjects on a nationwide basis. She has a BS from New York’s Binghamton University and earned her Certified Financial PlannerTM designation in 1990.  Many state banking associations and other organizations use her as their main source for training on these complicated topics.  Patrice’s upbeat personality and former banking experience easily encourages interaction and questions during the training sessions.

Credit Information

2.50 CISP, 2.50 CRSP, 2.50 CTFA credits


Either Live or 6-Month On-Demand Webinar: $255

Both Live and 6-Month On-Demand Webinar: $355


Online: Click here.

Phone: Call Total Training Solutions at (800) 831-0678

Register online up to day of event. Earlier registration allows time to check your computer for an optimal experience.