Regulatory and Compliance Services

The recent changes in governance culture and corporate governance regulations have enhanced the need for a compliance function. Our specifically trained people can help you in:

Regulatory Assistance Services - (includes S-O) can help organizations assess financial controls, identify deficiencies, and implement enhanced controls and practices. Specifically, our audit professionals can help ensure that the organization is compliant with the latest requirements regarding Section 404 and other relevant regulatory mandates. Services provided
include, but are not limited to:

• Performance of attestation examinations with respect to management's assertions on the effectiveness of internal controls over financial reporting
• Internal control reports required for inclusion in the annual report

Regulatory & Management Investigations - can help identify, verify, and even prevent breaches of regulatory requirements. Investigates whether, how, and why an organization may have failed to meet regulatory requirements; provides recommendations for improvements in structures, processes, and controls; and facilitates a positive relationship with regulators.

New Businesses/New Products - can help clients (1) structure new business/new products so that regulatory approval can be obtained, (2) present to the regulators requests for approval of new businesses/new products, and (3) create new policies, procedures and processes, including internal controls, that will be needed prior to commencement of new businesses/new products.

Corporate Regulatory Compliance - evaluates current compliance policies and procedures; provides advice on design of the compliance function and the role of the board, audit committee, and management; and, when appropriate, assists with the design and implementation of specific reporting systems, process requirements, and compliance programs.

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