Agreed Upon Procedures (AUP)

To ensure quality, we use the latest (AUP) industry leading practice aids to serve our clients.

We provide agreed upon procedures (AUP) for broker dealers who are SIPC members and are required to submit a SIPC 7 report annually. We also provide this service for any company that needs an opinion on a specific test or business process.  

The quality of the firm’s compilation work has been recently validated by our positive peer review results. You will have direct access to decision makers including the managing partner.

Objectives of an Agreed-Upon Procedures Engagement

In conducting an agreed-upon procedures engagement for which the subject matter is compliance or internal control over compliance with specified requirements, we are to:  

  1. apply to an entity’s compliance with specified requirements or an entity’s internal control over compliance with specified requirements procedures that are established by specified parties who are responsible for the sufficiency of the procedures for their purposes and
  2. issue a written report that describes the procedures applied and the practitioner’s findings.

Benefits of an Agreed Upon Procedure

We apply to the subject matter procedures that are established by specified parties who are responsible for the sufficiency of the procedures for their purposes;  

  1. We issue a written practitioner’s report that describes the procedures applied and the practitioner’s findings; and
  2. We will communicate further as required by relevant AT-C sections.

Consultation

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We are licensed in the following states*:

  • Alabama
  • Arizona
  • California
  • Colorado
  • Delaware
  • Florida
  • Georgia
  • Idaho
  • Illinois
  • Indiana
  • Iowa
  • Kansas
  • Kentucky
  • Louisiana
  • Maryland
  • Missouri
  • Montana
  • New Mexico
  • New York
  • North Carolina
  • North Dakota
  • Ohio
  • Pennsylvania
  • Rhode Island
  • South Carolina
  • Tennessee
  • Utah
  • Virginia
  • Washington
  • West Virginia
  • Wisconsin

*Should you need services in a state not listed, please contact us for more information.

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