Traditional Assurance Services
SOC 1 Examination: An in‐depth audit of an organization’s internal controls. A SSAE no. 16 will satisfy several requests from clients, their auditors, as well as many due‐diligence questionnaires.
Surprise Custody Examination: An annual examination for Investment Advisers subject to the Custody Rule.
Financial Statement Audits and Tax: Independent stakeholder reporting and multi-jurisdictional reporting for both pooled investment vehicles and management companies.
Internal Audit Services: Assistance in assessing, creating, and/or testing of internal controls under both AICPA or PCAOB standards.
QPAM Audits: Ashland Partners provides examinations of the Prohibited Transaction Exemption (PTE) 84-14 for plan assets transacted by independent Qualified Professional Asset Managers (QPAM).
Chief Compliance Officer Resources
Cyber Security Services: A practical approach to industry best practices and tailored for small and mid-sized investment advisors.
Vendor Due Diligence: Independent expert validation on whether vendors meet industry standards and are not causing undue risk to other companies or investors.