Specialized Compliance Audits

The Service

Our Specialized Compliance Audits will identify and document potential compliance issues with your lending program, in accordance with Federal regulations. Each audit is tailored to your individual risk profile.  We offer:

  • Unfair, Deceptive or Abusive Acts or Practices (UDAAP) Audit
  • Loans to Insiders (Reg O) Audit
  • Garnishment of Federal Benefit Payments (Part 212) Audit
  • Protecting Tenants at Foreclosure Act (PTFA) Audit
  • Website/Advertising Compliance Audit

At discovery, details of the engagement will be outlined to ensure your needs will be met, time frames are manageable, and reports are delivered promptly.  The resulting report will give you an overall rating and show any compliance issues found.

We have developed a reporting process that delivers “risk-based” facts in a universally readable language and format.


The Scope of Work
  • Our Specialized Compliance Audits follow regulatory guidance and best practices.
  • Each engagement will be tailored to meet your unique needs.
  • On-site and remote audits are available.

Man jumping canyon
Sailor at helm


The 10-D Compliance Difference
  • Our audits are performed by former compliance officers, auditors, and examiners with vast experience of the inner workings of financial institutions AND in-depth compliance knowledge.
  • We provide concise, professional, and easy to read reports delivered promptly.
You would benefit from a 10-D
Specialized Compliance Audit if
  • You require quick turnaround of reports and deliverables.
  • Your budget constraints do not allow for “Big Accounting Firm” prices.
  • Your management values their time and lacks resources to conduct their own reviews.

Keep your institution off the evening news.


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