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A Credit Card Use Policy Can Help Prevent Abuse

March 24, 2022 by Ernst Wintter & Associates LLP

Savvy non-profit executives delegate responsibilities to allow them to focus on more important leadership issues. Should the delegation of responsibilities include allowing certain employees to make purchases by using a credit card owned by the nonprofit? The answer is yes, if your nonprofit has … Read More

California Nonprofits Must Prioritize Common Interests in Their Associations

November 16, 2021 by Ernst Wintter & Associates LLP

If your nonprofit is a 501(c)(6) organization, your associations could threaten your tax-exempt status if they aren’t prioritizing common interests of the organization. California nonprofit audit and tax service providers urge you to ensure compliance with IRS rules by routinely reviewing your … Read More

Broker Dealer Audit Deficiencies

October 18, 2020 by Ernst Wintter & Associates LLP

The Public Company Accounting Oversight Board (the “PCAOB”) recently released its annual report of findings in audits of broker dealers under its interim inspection program. For the ninth year in a row, the report indicates that the PCAOB continues to see a high level of broker dealer audit … Read More

The Broker Dealer Audit Program

October 8, 2020 by Ernst Wintter & Associates LLP

The purpose of performing broker dealer audits and requiring regular reporting is to verify that broker dealers are compliant with regulations intended to protect investors. The broker should implement consistent internal investigations to assure this goal, but audits are the primary tool used by … Read More

How to prepare for your annual broker dealer audit

October 1, 2020 by Ernst Wintter & Associates LLP

Preparing for your annual broker-dealer audit should be a proactive agenda throughout your company’s fiscal year. Early preparation allows your business to stay compliant with the numerous rules and regulations. Failure to implement preemptive measures may result in an interruption of your … Read More

The Objectives of a Broker Dealer Audit

September 24, 2020 by Ernst Wintter & Associates LLP

The requirements for broker dealer audits exist to protect investors. Once a year, a firm registered with the PCAOB must audit their broker dealers. Broker dealers are subject to a wide range of regulations and the auditing process ensures that an entity is compliant with all applicable … Read More

How to Have a Positive Broker Dealer Audit Experience

September 17, 2020 by Ernst Wintter & Associates LLP

Broker dealers registered with the Financial Industry Regulatory Authority and the Securities and Exchange Commission (SEC) are required to have an annual financial statement audit. Broker dealers with this requirement must use an accounting firm registered with the Public Company Accounting … Read More

Double Donor Donations with Matching Gifts

March 31, 2020 by Ernst Wintter & Associates LLP

Most large U.S. employers have matching gift programs. Matching gifts are a corporate giving program that help nonprofits financially.  These are designed to help employees make an impact through charitable giving. According to Double the Donation, between $2 and $3 billion are donated in this … Read More

4 key metrics for evaluating your nonprofit’s finances

July 26, 2019 by Ernst Wintter & Associates LLP

Do you know how to evaluate the use of your nonprofit’s funds and the target ranges for these metrics? Though sound financial management may not be front and center in your nonprofit’s mission, it is essential for ensuring the integrity of its programs and services. One of the benefits of nonprofit … Read More

How cause marketing can help your nonprofit

July 10, 2019 by Ernst Wintter & Associates LLP

As any provider of nonprofit audit services will tell you, it is ideal to have a diversity of funding sources. When your nonprofit can rely on multiple types of funding, your more likely to avoid budget shortfalls and better positioned to expand your services as you need. Cause marketing is an … Read More

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Latest News

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