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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

Deciphering the Many Motivations Behind Charitable Giving

January 20, 2019 by Ernst Wintter & Associates LLP

The motivations behind American giving have been as varied as they are opaque. From various financial motivations to individual, social, or community level motivations, understanding what motivates donors and how these vary across demographic groups can help your non-profit more effectively reach … Read More

Transitioning your Non-Profit from Overhead to Impact

November 4, 2018 by Ernst Wintter & Associates LLP

Local and national watchdog groups have played an important role in helping donors identify questionable non-profits for decades. However, the measurement standards have evolved since groups such as GuideStar, Charity Navigator, and the Better Business Bureau’s Wise Giving Alliance began issuing … Read More

Leveraging Accountability to Grow your Non-Profit

October 29, 2018 by Ernst Wintter & Associates LLP

Your non-profit’s mission is the core of your organization, and it is imperative that not only does your organization make an impact, but that it does so effectively and that the broader community understands this impact. Accountability allows for the work your non-profit does day in and day out to … Read More

Why Accounting Methods Create Differences in your Financial Statements

October 26, 2018 by Ernst Wintter & Associates LLP

Your organization likely develops financial statements internally throughout the years for your Board of Directors. This might include reports every month, quarter, or another cycle that your board prefers. Then, at year end, your auditors always propose adjustments. Why the consistent … Read More

How to Determine the Value of Donated Items for you Non-Profit

October 24, 2018 by Ernst Wintter & Associates LLP

It can be difficult for non-profit organizations to value non-cash and in-kind donations.  There are several purposes for valuing donations including record-keeping or providing a value for charitable tax deduction. Either way, your non-profit’s tax needs will likely include valuing donations at … Read More

How to know if your Non-Profit’s Special Event should be Repeated Next Year

September 24, 2018 by Ernst Wintter & Associates LLP

Non-profits use special events to raise large amounts in a short period of time. Most often, the donor receives a direct benefit from the event — such as dinner or participation in a gaming activity. But special events don’t always meet their fundraising goals. In fact, organizations can lose money … Read More

Considering Whether to Compensate your Non-Profit’s Board Members

September 13, 2018 by Ernst Wintter & Associates LLP

Non-profit board members are legally able to be compensated, and sometimes it might even be necessary. But is it right for your organization? Pro and cons to board compensation Board member compensation comes with several pros and cons to consider. One of the considerations for compensation … Read More

Analyzing Revenue like an Auditor can help Non-Profits Optimize Fundraising

July 22, 2018 by Ernst Wintter & Associates LLP

Auditors are specialists in understanding how revenue is generated and allocated. They will spend a lot of time analyzing revenue figures, reviewing the methods used to record revenues, and performing a detailed income analysis. Non-profits can learn from auditing techniques to improve their … Read More

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