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
