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Regulatory and Compliance Services

In today's increasingly regulated business environment, companies are expected to comply both with laws and a myriad of regulations, in addition to the voluntary leading practices recommended by other organizations or associations. Compliance programs are meant to prevent and detect noncompliance and to make businesses run more efficiently. In fact, the existence of an effective compliance program, with documented compliance activities and initiatives, is one of many factors a prosecutor will consider when determining how to charge a company for noncompliance with mandated standards.

We know that effective risk management is not only about protecting your business; it is about making it better. Failure to address compliance risks effectively can result in severe repercussions, including litigation, fines and penalties, damage to your reputation, and other losses as a result of illegal or unethical behavior.

Wegmann Dazet's Business Advisory & Forensic Services practice can help you develop a stronger corporate governance infrastructure and assist you with promoting compliance with laws, regulations and company policies throughout your organization. Our experienced team of Certified Public Accountants (CPA), Certified Fraud Examiners (CFE), Accredited in Business Valuations (ABV), and Certified in Financial Forensics (CFF) would like to work with you to:

  • Identify and prioritize significant compliance risks;
  • Assess the effectiveness of the design of your compliance program, processes and entity-level controls;
  • Identify opportunities to improve or enhance your compliance programs, processes and controls; and
  • Evaluate the design and operation of compliance processes and controls for ongoing effectiveness.