“It’s our job to create a comfortable relationship with clients that not only sets the groundwork for compliance, but also allows for timely service and successful results.”
— Jeffrey A. Elwell, CPA, Director
As a request from some of our clients, BLS has an established section of our assurance area dedicated to compliance examinations. Once again, we were listening to our clients.
Not sure what a compliance examination is, or why you might need one? In short, it is a periodic examination to make sure you are operating in compliance with particular rules that are applicable to your company. Compliance examinations are typically focused on operational areas that pose the biggest compliance risks, and focus on the procedures the institutions have in place to ensure compliance with regulations.
Our Compliance Examinations Include:
- Single audits performed in accordance with the Uniform Guidance
- Custody rule compliance examinations for investment advisory firms registered with the SEC
- IOLTA pre-certifications for law firms
- HUD cost certifications
Contact Our Compliance Examination Professionals
Looking for assistance with compliance examinations? For additional information on our compliance examination services, please contact Jeff Elwell, CPA, at 302.225.0600, or click here to email Jeff. In a brief consultation he can assess your situation and determine the best way to proceed.