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Tag Archives: Audit
Tax Audit Representation – EA, Attorney, CPA
A tax attorney, EA enrolled agent, CPA certified public accountant, help taxpayers who have never been audited in cooling down their anxieties and eliminating fear when the Internal Revenue Service checks in to conduct the audit. The first-time clients to … Continue reading
Recent IRS Audit Statistics
On the whole, the chance of an audit of a person’s personal income tax return in any given year is low. This is true regardless of whether a person’s income is high or low. To be sure, this statement is … Continue reading
Wage and hour audit considerations for California employers in 2019
With the start of 2019, I’m writing a series of posts covering employment law areas that employers should audit on a routine basis. The first two articles covered hiring practices and records retention practices. This post covers five wage and … Continue reading
Posted in Employment and Labour Law
Tagged 2019, Audit, California, Considerations, Employers, hour., wage
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2018 FINRA Exam Report: Does Your Investment Portfolio Need a Legal Audit?
The Financial Industry Regulatory Authority (“FINRA”) released its 2018 Examination Findings Report on December 7, 2018. This examination report recounts specific areas in which FINRA members are not measuring up to industry standards. So, if your investment advisers just sent … Continue reading
Posted in Banking and Finance law
Tagged 2018, Audit, exam, FINRA, Investment, legal, need, Portfolio, Report
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IOSCO issues good practices report to support audit quality
By Joanne Cursinella, J.D.The International Organization of Securities Commissions (IOSCO) has published the IOSCO Report on Good Practices for Audit Committees in Supporting Audit Quality. According to the a media release, the report aims to assist audit committees in promoting … Continue reading
Posted in Securities Law
Tagged Audit, good, IOSCO, Issues, practices, quality, Report, Support
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