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RISK AND COMPLIANCE

At Yip Associates, we help our clients develop and implement comprehensive compliance programs aimed at identifying and mitigating business and integrity risks while strengthening compliance with all operational, financial reporting, industry, legal and regulatory guidelines. Through identification of specific industry and organizational risks, we create and tailor compliance programs in order for our clients to operate in accordance with industry “Best Practices.” Our services have assisted both public agencies and private clients in developing and implementing risk management and compliance programs aimed at reducing exposure to risks that can have a detrimental impact on an organization’s finances, or even worse, its integrity.

Our service offerings include:

  • Conducting independent risk assessments and stress-testing of existing compliance programs
  • Developing, implementing and monitoring adherence with Compliance, Ethics and Anti-Fraud programs
  • Conducting training programs for senior management and employees on compliance program requirements and “trending” industry and regulatory compliance issues
  • Testing the effectiveness of internal controls including assessing and enhancing existing risk-based policies and procedures
  • Implementing and monitoring fraud prevention hotlines
  • Independently monitoring companies who have encountered compliance issues
  • Conducting reviews of financial activity for indications of non-compliance issues or criminal behavior
  • Conducting complex financial investigations into known corruption matters