DLA- Internal Audit Forensic Accounting

Compliance Inspections

Risk Assessment, Identification and Testing Services

Our proactive process is designed to reinforce the effectiveness of an organization’s systems and controls. DLA conducts annual compliance assessments to verify the adequacy of a firm’s Code of Ethics, compliance policies and procedures and adherence to the compliance program. We offer risk-based testing and targeted reviews to help identify regulatory risks and gaps. DLA also conducts mock regulatory examinations to assure a firm is well-prepared in the event of an actual examination. 

More specifically, our Compliance Inspections services and capabilities include:

• Annual Reviews 
  We assist in annual reviews including the SEC 38a-1 Report, the SEC 206(4)(7) Annual Review and the FINRA 3012 Annual Attestation. 
   
• Compliance Infrastructure Testing 
  We provide testing services to identify gaps and key risk indicators leading to detailed, targeted reviews that evaluate and mitigate risks.
   
• Audit and Quality Assurance - Key Performance Indicators 
  We assess data integrity and review your current processes. We also help maintain the integrity of your books and records. 
   
• Mock Regulatory Exams 
  We conduct mock SEC and FINRA exams to identify and resolve red flag issues.