Compliance Examinations

The quality of the firm’s compliance work has been recently validated by our positive peer review results.

Surprise Custody (Compliance Examinations):

We provide surprise custody exams for broker dealers and registered investment advisors. These exams are normally required annually by the SEC. We also provide this service for any company that needs an opinion on a specific test or business process.  

To ensure quality, we use the latest industry leading practice aids to serve our clients.  You will have direct access to decision makers including the managing partner.

Objectives of an Examination Engagement

In conducting an examination of an entity’s compliance with specified requirements, the objectives of the practitioner are to:

  1. obtain reasonable assurance about whether the entity complied with the specified requirements, in all material respects,
  2. express an opinion in a written report about whether.
  3. the entity complied with the specified requirements, in all material respects, or
  4. management’s assertion about its compliance with the specified requirements is fairly stated, in all material respects.

Benefits of a Compliance Exam

We will issue examination reports on compliance with specified requirements and for our agreed-upon procedures reports related to compliance or internal control over compliance with specified requirements.

Consultation

For a consultation, please click the button for our contact information or fill out the contact form below.

Contact us

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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