Regulatory Audit 

Many organizations are obliged to obtain independent verification of financial and other information reported to regulators. Others voluntarily seek independent verification to avoid factual errors and the risk of non-compliance.

Regulatory audits include but are not limited to financial statements audits. A major role of the auditor is to assist regulators with the prudential supervision exercised by the regulatory bodies. Additional involvement may also be requested to answer specific needs.



  • Audit of financial statements as required by the Banks and Trust Companies Law (2009 Revision)



  • Audit of financial statements in accordance with the Mutual Funds Law (2009 Revision)


Insurance / reinsurance companies

  • Audit of financial statements in accordance with the Insurance Law, 2010


Through the regular training delivered to our staff and our involvement in a number of industry events, we keep abreast of latest regulatory changes and best practices in the banking, funds and insurance/reinsurance industries.


How we can help


Our firm’s Audit practice assists clients fulfill a range of compliance obligations by conducting independent audits and reviews of financial information and other data. We help our clients identify incidences of non-compliance and increase confidence in the integrity of the information, systems and processes under review.


We seek to build and preserve the trust, respect and confidence of our clients by providing clear, relevant and timely advice.



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John Lopez

Senior Partner

Tel:  1-242-393-2007