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Financial Services

The financial services industry continues to diversify, but competition and more complex vendor relationships make determining business strategy more complicated.

Financial Services

  1. Article
    Client status meeting to discuss project success

    Navigating an uncertain future: Key trends for internal audit leaders in the insurance industry

  2. Article
    Office computers on with no professionals

    Navigating the new FinCEN final rule for investment advisors

  3. Article
    Management team meets to review data analytics and financial results

    Navigating the new AML landscape: It’s much more than KYC

  4. Article
    Woman signing papers

    Accounting challenges mount as private firms embrace sophisticated financial tools

  5. Article
    People looking at financial plans and budget

    New FASB proposal targets share-based payment inconsistencies

  6. Article
    Strategic planning meeting

    FASB shifts stance on held-to-maturity debt securities, aligns with loan receivables

  7. Article
    Real estate building with view of windows outside

    Enhancing ERM: Moving beyond the traditional risk assessment

  8. Article
    Team holds a strategy meeting

    FDIC signage changes

  9. Article
    Team discusses client needs in an office

    SEC approves of a new PCAOB quality control standard 

  10. Article
    Architectural ceiling in building with spirals

    Interest rates and their impact on financial services companies 

  11. Article

    Life insurers be on guard: How money laundering is impacting the insurance industry and tips to mitigate the threat on your organization

  12. Article
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    Updates from the Statutory Accounting Principles Working Group’s Aug. 13 summer national meeting and the NAIC/AICPA (E) Working Group

  13. Article
    abstract robotic process automation (RPA) data

    The future of finance: How RPA is reshaping financial processes

  14. Article
    Man makes notes while working on a computer

    Navigating BaaS: Key insights and compliance essentials

  15. Article
    Team of professionals working on computer

    How to train your organization to achieve BSA/AML compliance

  16. Article
    business leaders meeting

    Domain V: Performing internal audit services

  17. Article
    Team high fiving

    Improving risk assessments by leveraging collaboration methods and tools 

  18. Article
    Consultants review software development code

    2024 SOFE Career Development Seminar session insights

  19. Article
    cybersecurity program program management and governance

    Elevate your cybersecurity program: Integrating program management and governance

  20. Article
    Closeup of hands holding smartphone in cafe

    Treasury and IRS finalize tax reporting requirements for digital assets

  21. Article
    Audit committee meets to oversee the reporting and disclosure process of an organization

    Domain IV: Managing the internal audit function

  22. In the News
    Team of IT professionals working on program in office

    CrowdStrike Event Cyber Losses Could Reach Into Billions

  23. In the News
    Blue lighting in server room

    Major IT outage will challenge insurance coverages

  24. Resource
    ransomware prevention

    Ransomware prevention guide

  25. Article
    meeting looking at charts and data

    Understanding the SEC Final Rules vacated by the Fifth Circuit  

  26. Article
    Woman completes a survey

    SEC outlines examination priorities for fiscal year 2024 

  27. Article
    Colleagues discuss strategy while walking through the office

    Navigating the modernization of SEC's Regulation S-P 

  28. Article
    Insurance advisors collaborate on robotic process automation (RPA) project

    Enhancing insurance operations with RPA and document understanding solutions

  29. Article
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    Five common pitfalls for new SOX filers (and how to avoid them)

  30. Webinar
    wind and solar energy - IRA

    How community lenders can amplify funding for clean energy projects using federal grant and tax credit programs

  31. In the News
    Business interconnectivity

    The IPO pathway

  32. Article
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    Internal audit: understanding co-sourcing and outsourcing models

  33. Case Study
    Team discusses client needs in an office

    Insurance company develops digital strategy to help prioritize technology initiatives

  34. Case Study
    line chart with finance data

    Financial services company improves workflows following process assessment

  35. Article
    Silhouette of people in city connected digitally

    ERM essentials: Building a strong foundation

  36. Article
    woman working at computer

    Examining institutions’ key needs in a BSA/AML lookback

  37. Case Study
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    Financial institution leverages generative AI to automate compliance testing

  38. Article
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    Domains I and II: Diving deep on the IIA Standards

  39. Case Study
    Man and woman having a meeting at a bank

    Credit union association enhances member experience with comprehensive data strategy

  40. Article
    Office building courtyard with trees

    Navigating the IRA and NMTCs: Key considerations for financial services organizations

  41. Article
    Business documents and businesspeople consulting

    MERS annual reporting checklist

  42. Webinar
    People looking at financial plans and budget

    Effective compliance programs in a fast moving company

  43. Webinar
    Conference attendees network at an event

    Haute Culture: designing a culture that drives performance and mitigates risk

  44. Webinar
    People looking at financial plans and budget

    Data-driven compliance programs

  45. Webinar
    Cybersecurity data on computer

    Cybersecurity, ransomware and AML implications

  46. Webinar
    Professional programmer working in office on cybersecurity

    Business Email Compromise: fastest growing, most financially damaging internet crimes

  47. Resource
    Baker Tilly Fraud Summit

    Baker Tilly Fraud Summit 2024

  48. Article
    soc readiness faq

    SOC readiness FAQ: Examining the basics and complexities

  49. Case Study
    Bank teller helping customer

    Organizational readiness assessment helps financial services association mature its data strategy

  50. Article
    aerial view people at long table collaboration

    Model Audit Rule (MAR) road map: Key considerations for effective MAR implementation

  51. Article
    sox compliance faq

    SOX compliance FAQ: The basics of navigating regulatory demands

  52. Article
    Photograph of Cape Cod lighthouse at Cayman Island

    Cayman island corporate governance rule now in effect

  53. Article
    Group of professionals meeting together

    Updates from the Statutory Accounting Principles Working Group’s March 16 spring national meeting

  54. Article
    Business team working on laptop computer in conference room

    Facing enterprise risk head on: Tips for leveraging technology as a facilitator in your ERM strategy

  55. Article
    woman working at computer

    Various states push momentum towards regulating insurer's use of artificial intelligence

  56. Article
    Chatting with artificial intelligence chatbot on computer

    Leading practices for modernizing data governance for growth: What your organization needs to know

  57. Case Study
    Credit union customer being served by teller

    IT assessment uncovers over 30 risks and gaps for financial services company

  58. Article
    securing your organization vulnerability management

    Securing your organization: A practical approach to vulnerability management

  59. Article
    Group of professionals meeting together

    NCUA’s recent addendum related to CECL model validations

  60. Article
    Diverse work environment where employees want to stay

    Exploring the many benefits of investment and production tax credits

  61. Article
    AI governance in palm of man's hand

    The regulatory implications of AI and ML for the insurance industry

  62. Article
    dynamic data and technology visualization

    Navigating cyber risks in 2024: Insights, controls and strategies for financial institutions

  63. Webinar
    soc readiness prepare for soc examination

    SOC readiness: What it takes to prepare for a SOC examination

  64. Article
    People applauding during conference session

    Insights from Bank Director’s 2024 Acquire or Be Acquired Conference

  65. Case Study
    aerial view people at long table collaboration

    Financial services company tackles operational challenges with a process assessment

  66. Webinar
    new iia global internal audit standards

    New IIA Global Internal Audit Standards: What you need to do in 2024

  67. Article
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    Updates from the Statutory Accounting Principles Working Group’s Jan. 10 interim meeting

  68. Article
    navigating essential role board director regulatory compliance adaptation

    Navigating the regulatory maze: The essential role of a board director in regulatory compliance and adaptation

  69. Article
    vendor risk management vendor ecosystem

    Vendor-risk management: Evolving a healthy vendor ecosystem

  70. Article
    strategic role of internal audit

    Adapt and overcome: The evolving strategic role of internal audit

  71. Article
    Abstract building with lined beams

    2023 Year end updates for the mortgage industry

  72. Case Study
    Group of professionals meeting together

    Insurance broker automates staffing model process with forecasting model

  73. Article
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    PCAOB introduces enhanced confirmation process standards for auditors

  74. Whitepaper
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    2024 Cyber Predictions e-book

  75. Article
    Business meeting at conference table with professionals walking by

    Self-clearing brokerages: A new trend?

  76. Article
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    Navigating BSA/AML compliance: A comprehensive video overview

  77. In the News
    Sun reflecting off of colorful building

    Products lenders should offer in 2024, according to mortgage leaders

  78. Press Release
    Lights speeding by with city buildings in the distance

    Baker Tilly names Jonathan Zeigler Financial Services managing partner

  79. Article
    Medical team meets to discuss patient care

    NAIC survey reveals continued growth of AI within life insurance industry

  80. Article
    Business professionals walking

    2023 Banking industry key takeaways: Preparing your bank for 2024

  81. Article
    aerial view people at long table collaboration

    Updates from the Statutory Accounting Principles Working Group’s Dec. 1 fall national meeting

  82. Article
    active participation in meeting

    2023 Year-end insurance industry key takeaways

  83. Article
    consultants discuss family office real estate

    2023 Asset management industry key takeaways and preparing for 2024

  84. Article
    Professional uses data analytics to prepare reports

    Establishing a framework for practical data governance in the insurance industry

  85. Article
    Two people walking through facility

    Accounting update to long-duration insurance contracts

  86. Article
    Business person leads a team meeting

    Updates from the Statutory Accounting Principles Working Group’s Oct. 23 interim meeting

  87. Article
    Closeup of circuitry on computer

    Updates from the National Association of Insurance Commissioners’ 2023 summer national meeting

  88. Article
    Man consults on the phone while working on the computer

    How to maximize the value of a CECL model validation

  89. Case Study
    Business team working on a laptop computer

    Customer experience review improves agent communications for mutual insurance company

  90. Article
    Men shake hands in a corporate office building

    The Corporate Transparency Act beneficial ownership information report

  91. Case Study
    Advisor discusses financial results with client

    Data analytics solution enhances loan activity analysis for financial services lender

  92. Article
    Climate reporting | Blue buildings in a city

    California climate reporting regulations are impacting many U.S. companies

  93. Article
    Team of IT professionals working on program in office

    Three Lines Model offers a logical risk management framework

  94. Article
    Remote working

    Mortgage servicing – planning ahead for your next regulatory review

  95. Article
    Team reviews financial results

    Updates from the Statutory Accounting Principles Working Group’s Sept. 21 interim meeting

  96. Article
    meeting looking at charts and data

    The SEC proposes rule amendments to the broker-dealer customer protection rule

  97. Article
    People networking in courtyard

    Private fund impact of SEC adoption of final rules on private fund adviser reforms

  98. Article
    Team members working on report

    The Model Audit Rule: best practices and recommendations to improve your organization’s program

  99. Article
    Abstract blue network lights

    OCC guidance on model risk management and model validations

  100. Article
    People crowd on a busy city street and crosswalk

    ESG and its importance in the insurance industry

  101. Webinar
    due diligence with a SOC 2 examination

    How to bolster vendor due diligence with a SOC 2

  102. Article
    Woman analyzes data on tablet

    Optimizing merger and acquisition strategies through asset liability management (ALM)

  103. Article
    Team of IT professionals working on program in office

    Dry powder reserves point to insatiable buyout demand

  104. Article
    Business person leads a team meeting

    Updates from the Statutory Accounting Principles Working Group’s Aug. 13 summer national meeting

  105. Case Study
    Insurance company anticipates cost reduction savings from operating model improvements

    Insurance company anticipates $1M a year in cost reduction savings from operating model improvements

  106. Case Study
    Clients meet with wealth management advisor

    Mortgage company achieves Fannie Mae approval with help from Baker Tilly advisors 

  107. Article
    common challenges key considerations SOC report

    Common challenges and key considerations when using or reviewing a SOC report

  108. Case Study
    Abstract detail of a modern office building

    Insurance company undergoes strategic assessment to prioritize IT strategy

  109. Article
    Mandatory deemed repatriation under Sec. 965

    Considering an IPO? Time to factor in FASB public company accounting rules

  110. Article
    papers on desk

    The reserving process – an alternative test for monitoring reserves

  111. Article
    Sun reflecting off of colorful building

    The rise of proactive assurance, and why it’s here to stay

  112. Article
    The actuary and IFRS 17

    The actuary and IFRS 17

  113. Article
    Baker Tilly delivers biohealth industry report on behalf of BioForward

    SEC adopts sweeping cybersecurity rules, requiring timely reporting of significant breaches

  114. Article
    Business person leads a team meeting

    Audit guidance for mortgage company auditors

  115. Article
    Advisor meets with client to discuss financial planning

    Should an introducing broker dealer become a clearing broker dealer? What you need to consider

  116. Article
    Team of professionals in the office working on programming cybersecurity on computer

    Proposed new SEC cybersecurity requirements for financial service firms

  117. Article
    ransomware attack at a business

    Protect your financial institution against fraud: How to upgrade your anti-money laundering (AML) system

  118. Case Study
    financial services company confirms security to minimize risk

    Financial services company confirms security of web-facing applications and minimizes risk

  119. Article
    Women meeting at table discussing as a group

    Updates from the Statutory Accounting Principles Working Group’s (SAPWG) May 16 interim meeting

  120. Article
    papers on desk

    The accounting guidance the mortgage sector has been waiting for

  121. Article
    Glass facade of a modern office building

    Prepare your mortgage portfolio for the “What ifs”

  122. Article
    Revenue cycle operations for healthcare providers

    Payer organizations face challenges with calculating QPAs related to the No Surprises Act

  123. Case Study
    Light bulb indicating a new business idea/solution

    Innovation workshop helps life insurance company​ develop strategic road map to improve operations and technology

  124. Webinar
    Lights and cables running through server room

    Modern compliance

  125. Webinar
    Building facade

    Fraud fight: the growing pressure to do better at finding fraud

  126. Webinar
    Team of IT professionals working on program in office

    Cash flow, gender and internal controls

  127. Webinar
    Office building courtyard with trees

    Environmental, social and governance (ESG) discussion

  128. Webinar
    Woman interacts with data

    Digital asset governance

  129. Resource
    Baker Tilly Fraud Summit

    Baker Tilly Fraud Summit 2023

  130. Article
    active participation in meeting

    Updates from the NAIC Statutory Accounting Principles Working Group’s (SAPWG) 2023 spring national meeting

  131. Article
    Business advisor working with new customer going over data and strategy

    Unlocking the value of your insurance organization’s data

  132. Article
    Two IT professionals working on computer program in office

    Gain confidence ahead of your next regulatory exam: the benefits of completing a thorough model validation

  133. Article
    Office computers on with no professionals

    What happens in the servicing process when a loan becomes delinquent?

  134. Article
    Blue windows on building, geometric patterns

    It’s time to review your financial institution’s liquidity and ALM practices: leverage your data to mitigate risk

  135. Case Study
    hands typing on laptop

    State insurance department seeks actuarial examination assistance and reinsurance, reserve and pricing risk analysis

  136. Case Study
    people strategizing at a desk futuristic

    State insurance department needs assistance with risk-focused examination subject to NAIC accreditation review

  137. Case Study
    Cybersecurity data on computer

    Multinational organization seeks complex information technology and cybersecurity review

  138. Webinar
    Digital connectivity displays on world map

    Data analytics as the silent whistleblower

  139. Article
    Office building courtyard with trees

    Identify emerging internal audit risks to prepare for tomorrow’s insurance world

  140. Article
    workers on computer

    Best practices for banks when implementing q-factors

  141. Article
    Looking up at sunlight shining through trees

    Recent Fannie Mae update has mortgage industry evaluating operational decisions: the information you need

  142. Article
    team working on computer

    Digital redlining presents a fair lending risk for financial institutions

  143. Case Study
    Rising interest rates, financial growth

    Debt consolidation company closes security vulnerability after successful external penetration testing

  144. Webinar
    Team of professionals working on computer

    Challenging the traditional insurance corporate tax function

  145. Article
    Building facade

    SEC 2022 Enforcement Report highlights evolving areas of cryptocurrency, ESG and cybersecurity

  146. Article
    Structure of frame for home being built

    Preparing your organization for increased mortgage defaults

  147. Article
    Office building windows

    National Association of Insurance Commissioners Statutory Accounting Principles Working Group 2022 adoptions

  148. Article
    women using AI

    AI on main street

  149. Article
    Abstract circle arches

    Dynamic risk landscape creates challenges regarding talent, cybersecurity and ESG

  150. Article
    Man looking at data points

    Data mapping: building a strong foundation for cybersecurity and data privacy

  151. Article
    Forest of green trees on a sunny day

    ESG landscape in the financial services industry

  152. Article
    Glass facade of a modern office building

    A.M. Best Company ranks Baker Tilly among top insurance auditors in U.S.

  153. Article
    casual work space office

    How to build an effective IT audit team during a time of skilled resourcing shortages

  154. Whitepaper
    Thumbprint used for increased security

    2023 Cyber Predictions

  155. Article
    view of sky from building

    Updates from the Statutory Accounting Principles Working Group’s Dec. 13 Fall National meeting

  156. Article
    Woman speaks at town hall meeting

    Inflation Reduction Act, ESG and the uncertain economy key issues at the 2022 Bank Tax Institute

  157. Article
    Government building pillars with American flag

    2022 loss reserve discount factors for insurers released by IRS

  158. Article
    Woman reviews business plan on computer

    SEC proposed oversight requirements for RIA service providers

  159. Article
    Sun reflecting off of colorful building

    Insurance hot topics: 2022 year-in-review key takeaways

  160. Article
    Data dashboard coming out of laptop

    How banks can leverage continuous auditing, continuous monitoring

  161. Article
    Two women planning together on a laptop

    2022 year-end asset management updates

  162. Article
    Real estate company strengthens third-party management processes, enhances investor confidence

    A closer look at interagency guidance on third-party risk management

  163. Article
    Tax reform: The Senate bill passes

    Baker Tilly’s year-end banking webinar: key takeaways heading into 2023

  164. Article
    Professionals come and go in a busy office building lobby

    What boards need to know about the SEC’s new executive compensation recovery (clawback) rule 

  165. Article
    Colleagues walk down the stairs in discussion

    What's changed with SOC 2?

  166. Webinar
    Closeup of circuitry on computer

    Top cyber trends and emerging risks in the insurance industry

  167. Article
    people office

    Top five cybersecurity and IT audit trends that most impact an organization’s ability to respond to today’s challenges

  168. Article
    Woman interacts with data on a screen

    Your CECL questions - answered

  169. Article
    Woman on laptop working on servers

    CECL validations and stress-testing - your questions answered

  170. Whitepaper
    Building courtyard with trees

    The evolving risk landscape

  171. Article
    buildings and sky with clouds

    Beneficial ownership reporting – new FinCEN regulations

  172. Webinar
    Looking up at sunlight shining through trees

    Insurance hot topics: ESG and prioritizing now, next and later

  173. Article
    Man makes notes while working on a computer

    CECL implementation for consumer-based receivables - your questions answered

  174. Article
    AI network

    White House framework on digital assets points to importance of continuous monitoring by companies, investors

  175. Article
    Man explaining data at a business meeting

    The expected impact of CECL on portfolio company valuation

  176. Article
    US Capitol Building Government

    The CFTC issues final rule modifying the swap clearing requirements

  177. Multimedia
    Man looking out from a mountaintop

    Agents of Change with Richard Chambers and Heather Acker

  178. Article
    Group meets in a conference room

    Updates from the Statutory Accounting Principles Working Group’s August 2022 Summer National meeting

  179. Article
    Man works remotely with phone, reports and computer

    Q-factors and forecasting for basic entities - your questions answered

  180. Case Study
    Data statistics money coins

    Not-for-profit company automates employee compliance reporting

  181. Article
    Man looking at window of data

    Q-factors and forecasting for complex entities - your questions answered

  182. Article
    Team participates in Stewardship Day activity outdoors

    Guidance for financial institutions to help with voluntary ESG-related reporting

  183. Article
    Digital values of financial report

    Smart contracts 101

  184. Resource
    Digital strategy board meeting

    Regulatory criticisms for the CECL standard

  185. Resource
    Digital graph, data analysis

    Model validation framework

  186. Case Study
    Real estate development showing homes along street

    Insurance group creates automated processes using ML and OCR to audit 500+ reinsurance contracts

  187. Article
    Government building with waving flag

    SEC issues new pay versus performance disclosure requirement

  188. Case Study
    software automation data screen

    Software company institutes process to reduce exposure to data containing personal identifiable information

  189. Article
    Professionals sign contract to close the deal

    The benefits of CECL model validation beyond regulatory compliance

  190. Case Study
    Community bank entrance with American flag

    Financial institution established an enterprise data governance program to better manage their data platform

  191. Case Study
    Research team discusses software development and data organization

    A P&C insurance company scales operation with MGA data automation solutions

  192. Article
    man protects firm from cybersecurity risks

    New York Department of Financial Services updates cybersecurity requirements for financial services organizations

  193. Article
    Bustle in the city with street lights and crowds of people on the sidewalk

    Exploring ESG’s impact on investment returns and financial disclosure of climate-related risks

  194. Case Study
    People analyzing graphs

    Credit union establishes a data strategy and governance road map

  195. Article
    Woman works on business strategy at a computer

    Four core digital challenges facing the insurance industry

  196. Case Study
    Insurance health data

    Global reinsurance company accelerates data transfers with ETL automation

  197. Article
    Government building columns, architecture

    Cayman Islands data protection laws and national risk assessment update

  198. Article
    panel discussion

    Model Audit Rule panel: life and P&C insurers

  199. Case Study
    Chefs working in kitchen

    Cookware distributor undergoes digital assessment to achieve growth

  200. Article
    city buildings

    Fiscal first aid for school districts - recovering from financial distress

  201. Article
    Manufacturing plant analytics on iPad

    Smart contracts: the potential next wave of defi, crypto and digital assets to impact the insurance industry

  202. Article
    Men shake hands in a corporate office building

    Importance of obtaining a SOC 2 for your customers

  203. Article
    Consultants review an audit report prior to a finance committee meeting

    Leveraging data to drive agility in internal audit

  204. Webinar
    Balance of nature and business symbolize environmental social corporate governance

    The growing importance of ESG in the insurance industry: a panel discussion

  205. Article
    Woman interacts with data

    Why cryptocurrency may be exactly what your bank needs now

  206. Article
    Group meets in a conference room

    Updates from the Statutory Accounting Principles Working Group’s April Spring National Meeting

  207. Article
    Government building with waving flag

    FDIC issues crypto-related activities requirement for financial institutions

  208. Article
    cybersecurity businessman touching web

    SEC proposes improved uniformity and comparability of cybersecurity disclosures

  209. Article
    Team working on report

    Investors beware on the market impact of a short squeeze

  210. Article
    papers on desk

    Impact of AM Best performance assessments of delegated underwriting authority enterprises on the insurance industry and insurance regulators

  211. Article
    Analyzing program data on tablet

    Exposure analysis: expanding the use of modeling and decision trees

  212. Webinar
    Data server center

    Fraud Summit: Managing your risk against a ransomware attack

  213. Webinar
    Magnifying glass

    Important trends in white collar criminal investigations and prosecutions

  214. Webinar
    people raising hands for Q&A

    Fraud allegations and the media: a guide to surviving the spotlight

  215. Webinar
    Government building with waving flag

    Deciphering Elizabeth Holmes: what went wrong?

  216. Webinar
    Woman at a computer analyzing data

    Cybersecurity: to infinity and beyond

  217. Webinar
    Team discusses client needs in an office

    Control activities vs. control environment: how the latter drives the former

  218. Webinar
    Consultants review an audit report prior to a finance committee meeting

    Continuous auditing within the compliance program

  219. Webinar
    abstract_people_technology_city

    Beyond three lines: the collaboration imperative for connected risk

  220. Webinar
    Finance executive analyzes cash on hand report

    AML and KYC emerging trends

  221. Webinar
    man analyzing computer data

    A deeper dive into cyber crime, cryptocurrency and illicit finance

  222. Article
    Men shake hands in a corporate office building

    SAPWG seeks comments on proposed bond definition prior to possible revisions

  223. Article
    Facade of the U.S. Capitol Building at night

    SEC votes to propose much-anticipated rule requiring climate disclosures

  224. Webinar
    Healthcare leadership team meeting

    Model Audit Rule panel: health plans

  225. Webinar
    hands typing on laptop

    Insurers and cybersecurity: What will 2022 look like?

  226. Resource
    City buildings reflecting sky

    Understanding the ins and outs of CECL models

  227. Article
    CECL banking solutions

    Reflections from AOBA 2022

  228. Article
    Man looking at window of data

    Understanding CECL parallel runs and model validations

  229. Article
    Finance executive analyzes cash on hand report

    Overdraft fees and UDAAP

  230. Article
    Professional team meets together in office

    The state of CECL with financial institutions

  231. Article
    Woman works on computer at night

    Mitigating cyber risk with HCM Advanced Controls

  232. Article
    Consultants review an audit report prior to a finance committee meeting

    Updates from the Statutory Accounting Principles Working Group’s Jan. 27 interim meeting

  233. Article
    Team working in office

    NAIC SAPWG 2021 adoptions

  234. Article
    abstract data

    Data Privacy Day 2022: Resolve to be in front of privacy ... not behind it

  235. Webinar
    Programmer performs systems testing on software

    CECL next steps: parallel runs and model validations

  236. Whitepaper
    hands typing on laptop

    2022 Cyber Predictions e-book

  237. Article
    Team working in office

    Shortening securities transaction settlements for U.S. markets to T+1

  238. Article
    Clients meet with advisor

    CECL implementation: Why the discounted cash flow method could be right for your institution

  239. Article
    Government building pillars with American flag

    2021 loss reserve discount factors for insurers released by IRS

  240. Article
    Conference room in advance of board meeting

    Updates from the Statutory Accounting Principles Working Group’s Dec. 11 Fall National meeting

  241. Article
    City buildings of professional offices

    A.M. Best Company ranks Baker Tilly as top auditor in U.S. for health plans, property and casualty, and life insurance

  242. Webinar
    View of New York City from the Brooklyn Bridge

    Crain's New York Business: 2022 CFO forecast

  243. Article
    cybersecurity of personal health information

    COVID business shifts change but don’t stop robust HITRUST evaluations

  244. Webinar
    woman visualizing data on computer

    CECL implementation loss rate analysis: understanding the ins and outs of CECL models

  245. Webinar
    trees growing in a forest

    Going public via SPAC: what you need to know

  246. Webinar
    protected health information

    HITRUST panel: lessons learned from a year of remote HITRUST validations

  247. Webinar
    Large multistate health plan enables performance in value-based program using shared analytics

    Price transparency requirements for health plans

  248. Whitepaper
    Professionals meet to discuss making a deal

    Understand today’s business considerations when raising capital, buying or selling

  249. Webinar
    Financial advisor meets with clients

    CECL implementation DCF model: understanding the ins and outs of CECL models

  250. Article
    Consultant analyzes financial reports

    Validating your asset liability management model beyond checking the compliance box

  251. Article
    Taking notes while working at a computer

    Leveraging technology for speed of claims settlement

  252. Article
    Clinical quality, economic value and available data sources: How these work hand in hand

    Leveraging your insurance data to transform your operations

  253. Article
    Taking notes while working at a computer

    Data governance best practices for banking institutions

  254. Case Study
    meeting looking at charts and data

    Commercial finance company streamlines key accounting processes

  255. Article
    microphone

    Insurance regulatory insights: a regulator panel discussion

  256. Article
    aerial view of a fort

    Mounting a defense in the ransomware war

  257. Article
    Team members review successful project on a tablet

    Elevating IT SOX programs through PCAOB inspection results and staff outlooks

  258. Article
    Is B2B Selling Dead?

    Summary of upcoming changes to SSAP 26R and 43R – ‘Definition of Bond’

  259. Webinar
    ransomware attack at a business

    Managing your risk against a ransomware attack

  260. Article
    technology on iPad

    The NFT market – The future of trading and collecting

  261. Webinar
    Banking KPI insights: 2018 first quarter metrics of note

    Model risk management: Implementing CECL outside of the box

  262. Article
    Utilizing TIF to support education in your community

    Bank Director: Taking model risk management to the next level – better business decisions from data consistency across models

  263. Article
    Baker Tilly works with enterprise software company to successfully implement Phase 1 of ASC 606 transition

    Model risk management implementation

  264. Article
    Empty conference room in New York City

    ASC 842 compliance: what nonpublic entities can expect

  265. Article
    Banking KPI insights: 2017 second quarter metrics of note

    Updates from the Statutory Accounting Principles Working Group’s August 2021 virtual meeting

  266. Webinar
    Today's curriculum for the higher ed HR leader

    Insurance Hot Topics Webinar Series: Leveraging technology for speed of claims settlement

  267. Article
    Closeup of circuitry on computer

    Maximizing Your Business Performance through Intelligent Automation

  268. Article
    Closeup of circuitry on computer

    Accelerated underwriting in life insurance: what examiners need to know.

  269. Webinar
    The benefits of CAFRs

    ASC 842 workshop: compliance and implementation best practices

  270. Case Study
    Man consults on the phone while working on the computer

    Property and casualty company streamlines business with change management services

  271. Article
    Professional working remotely

    Cybersecurity awareness remains key for post-pandemic remote workforce

  272. Webinar
    Real estate developer looks up at buildings in a city

    Real conversations: going public via SPAC

  273. Article
    Individual signing contract

    Is your micro-captive insurance arrangement abusive?

  274. Case Study
    Team meetings to discuss strategy in a conference room

    Credit union engages Baker Tilly to leverage and implement RPA technology

  275. Article
    Updates from the NAIC SAPWG May 2021

    Updates from the SAPWG May 20 meeting and other NAIC developments

  276. Article
    international fund managers

    Four key things U.S. fund managers launching new funds in Europe need to know

  277. Article
    Expanding community upgrades ERP system

    National Futures Association lays out guidelines for members’ use of third-party service providers

  278. Webinar
    U.S. Capital Building reflection in a nearby building

    Regulatory compliance for community banks

  279. Article
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    Agile auditing: unpacking today’s key trends across industries

  280. Article
    Banking industry benchmarks report

    Banking industry benchmarks report

  281. Article
    Reconciling balance on spreadsheet

    Assessing your excess liquidity opportunities and risks through asset liability management

  282. Article
    Banking KPI insights: 2017 second quarter metrics of note

    Model Audit Rule program - reload your program and get ready to add value

  283. Article
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    Updates from the Statutory Accounting Principles Working Group’s March 15 virtual meeting

  284. Resource
    Abstract data

    Baker Tilly Fraud Summit 2022

  285. Article
    Research analytics for sales & marketing

    Valuation of Level 3 portfolio companies: Why is it so important, and how can I help make the audit process easier?

  286. Webinar
    Consultants review financial report

    Should your fund be investing in cryptocurrency?

  287. Webinar
    Cybersecurity

    Real and present maritime cyber security challenges for ship operators, insurers and lawyers

  288. Article
    SEC government building columns and blue sky

    SEC 2021 exam priorities: climate change, ESG and cybersecurity

  289. Article
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    Transforming your finance organization from report creation to drivers of business analysis

  290. Article
    Deadline approaching, hour glass

    SEC extends filing deadline for certain broker-dealers

  291. Article
    Consumer data privacy

    Virginia swiftly passes Consumer Data Protection Act

  292. Article
    Digital graph, indicators with money

    Broker-dealers see some relief and clarity on cryptocurrency custody

  293. Webinar
    Managing healthcare risks through internal audit

    Using internal audit as a catalyst to help mitigate fraud risk

  294. Webinar
    Emerging trends in not-for-profit fraud

    Incorporating continuous auditing into your fraud toolbox

  295. Webinar
    Fraud and corporate governance: What boards can do to help prevent fraud

    Fraud and corporate governance: what boards can do to help prevent fraud

  296. Webinar
    Digital values of financial report

    Data and compliance: what you don’t know can hurt you

  297. Webinar
    Compliance lessons from the Department of Justice in 2020

    Compliance lessons from the Department of Justice in 2020

  298. Webinar
    The White House, the U.S. presidential residence, at night

    White collar crimes enforcement under a new administration

  299. Webinar
    ERP software evaluation positions manufacturer to undertake and execute business transformation and process improvements

    Triggers and internal controls: how to develop strong processes

  300. Webinar
    IRS releases final regulations for country-by-country reporting

    The threat beyond the Foreign Corrupt Practices Act (FCPA)

  301. Webinar
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    Recent developments in investigations: what we’ve learned from a year of remote investigations and implications for the future

  302. Webinar
    Performance incentives: the devil you need to know

    Performance incentives: the devil you need to know

  303. Webinar
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    Outsourcing compliance

  304. Webinar
    Mapping ethical risk

    Mapping ethical risk

  305. Webinar
    2020 Foreign Corrupt Practices Act (FCPA) update

    2020 Foreign Corrupt Practices Act (FCPA) update

  306. Webinar
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    Insurance hot topics virtual series: the evolving insurance cybersecurity program

  307. Article
    Tax considerations due to the CAA for banking and financial institutions

    Tax considerations due to the CAA for banking and financial institutions

  308. Article
    A case for model validation in financial services processes

    A case for model validation in financial services processes

  309. Case Study
    Together, team members climb a mountain to reach the summit

    Stafford Financial Consulting Group sells to AssuredPartners Inc.

  310. Whitepaper
    Sustainable cybersecurity for manufacturing and distribution: Managing risks with limited budgets and talent

    2021 cyber predictions e-book

  311. Webinar
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    Insurance hot topics virtual series: transform your insurance data with a digital strategy

  312. Webinar
    SOC lessons learned

    SOC: lessons learned from a year of remote engagements

  313. Case Study
    Consultants review an audit report prior to a finance committee meeting

    Risk assessment for health plan’s member letters and notifications

  314. Article
    Updates from the NAIC SAPWG Dec. 28, 2020 and Jan. 6, 2021 “evotes” 

    Updates from the NAIC SAPWG Dec. 28, 2020 and Jan. 6, 2021 “evotes” 

  315. Whitepaper
    The carried interest debate

    2020 loss reserve discount factors for insurers released by IRS

  316. Article
    Recent amendments to section 831(b) affecting some small insurance companies including captives

    Updates from the NAIC SAPWG December 2020 conference call 

  317. Webinar
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    Insurance hot topics virtual series: accounting, tax and statutory update

  318. Webinar
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    Insurance hot topics virtual series: modernizing the insurance claims process

  319. Webinar
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    Insurance hot topics virtual series: Keeping up with change: 2021 Internal audit risk assessment perspectives

  320. Article
    MEMBERS Development Company (MDC) generates pipeline of ideas to improve efficiency, effectiveness and overall business growth

    Updates from the SAPWG at the NAIC November 2020 Conference Call

  321. Article
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    Cayman Islands: Mutual Funds Law amendment and Private Funds Law

  322. Article
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    Cyberattacks and intellectual property loss

  323. Article
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    Updates from the SAPWG at the NAIC October 2020 Conference Calls

  324. Article
    Digital distribution and channels: Protecting and enhancing value to market through optimizing agent effectiveness

    Digital distribution and channels: Protecting and enhancing value to market through optimizing agent effectiveness

  325. Webinar
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    Employee retention credit: exploring the benefit for banks

  326. Article
    Cybersecurity risk management reporting framework can provide a key component of an organization’s risk management program

    Now, more than ever – the importance of ERM in a crisis environment

  327. Article
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    The SEC updates filing threshold to Rule 17h reporting requirements for broker-dealers

  328. Article
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    Updates from the SAPWG at the NAIC Summer 2020 National Meeting

  329. Article
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    Updates from the NAIC APPTF July 2020 Conference Call

  330. Article
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    A strong audit function drives a smoother regulatory examination process

  331. Article
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    Critical trends in the intelligent automation marketplace

  332. Multimedia
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    Data storytelling for insurance companies

  333. Article
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    Current expected credit loss (CECL) standard

  334. Article
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    Updates from the Statutory Accounting Principles Working Group at the NAIC’s June 2020 Conference Call 

  335. Article
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    The Financial Crimes Enforcement Network (FinCEN) provides further information to financial institutions in response to the COVID-19 pandemic

  336. Article
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    Updates from the Statutory Accounting Principles Working Group at the NAIC’s May 2020 conference call 

  337. Article
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    Agile auditing in an IT project environment

  338. Case Study
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    Credit union improves staff productivity, process efficiency and member experience with robotic process automation

  339. Webinar
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    Insurance internal audit in uncertain times: an industry panel discussion

  340. Article
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    Customer engagement in uncertain times

  341. Article
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    SEC proposed updates to fund valuation practices – rule 2a-5

  342. Article
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    Automation for fund accounting – the future starts now

  343. Article
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    SEC ruling: summary of amendments to filer definitions and Sarbanes-Oxley (SOX) impacts

  344. Article
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    Updates from the Statutory Accounting Principles Working Group at the NAIC Spring 2020 National Meeting

  345. Article
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  346. Article
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    How data analytics can help banks make smart strategic decisions

  347. Article
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    Medical billing services to become taxable in Texas on April 1, 2020

  348. Article
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    Canned software used by financial institutions excluded from Pennsylvania sales tax

  349. Article
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    Scrum, Kanban and agile auditing project management methods applied to internal audit

  350. Article
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    The NAIC 2019 Fall Summary Continued

  351. Article
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    AICPA valuation practice aid

  352. Article
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    New Jersey enacts elective SALT cap workaround for pass-through entity members

  353. Article
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    Updates from the NAIC Fall 2019 National Meeting

  354. Article
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    New auditing standard for employee benefit plans

  355. Whitepaper
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    Complex capital structures, complex valuations: The AICPA's new private equity/venture capital valuation Practice Aid

  356. Whitepaper
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    Valuation of contingent consideration: AICPA practice aid

  357. Article
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    PCAOB annual report on the interim inspection program related to audits of brokers and dealers

  358. Article
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    Applying the Agile manifesto and principles to internal audit

  359. Article
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    FASB issues proposed ASU for insurance companies applying standard on long-duration contracts

  360. Article
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    The NAIC 2019 Summer Meeting summary

  361. Article
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    FASB issues proposed ASU extending implementation deadline for Leases, Credit Losses and Hedging Standards

  362. Webinar
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    Agile Internal Audit: transforming internal audit to add greater value

  363. Article
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    Employers’ use of health reimbursement arrangements expands

  364. In the News
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    Carrier Management: Carrier Alert – InsurTechs Pose Third-Party Vendor Security Risks

  365. Article
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    Agile auditing: transforming internal audit to add greater value

  366. Article
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    Philadelphia regional M&A update Q1 2019

  367. Article
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    Pittsburgh regional M&A update: Q1 2019

  368. Article
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    Central Pennsylvania regional M&A update: Q1 2019

  369. Whitepaper
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    Readiness checklist for the NAIC Insurance Data Security Model Law

  370. In the News

    Preparedness vital in handling cyber events: Experts

  371. Press Release
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    Half of Community Banks Are Unsure About How to Implement Automation Technology

  372. Article
    Updates from the NAIC Spring 2019 National Meeting

    Updates from the NAIC Spring 2019 National Meeting

  373. Article
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    Navigating the NAIC Insurance Data Security Model Law

  374. Press Release

    Big Banks Have Significantly Higher Deposit Growth Than Community Banks Since the Great Recession

  375. Article
    Consultation

    How to develop an internal audit RFP for insurance organizations

  376. Press Release

    A.M. Best and Aon's Ward Benchmarking Solutions Recognizes Baker Tilly as Top Auditor in U.S.

  377. Press Release

    Majority of Insurers Not Up to Speed with Additional Tax Reform Guidance

  378. Press Release

    Nearly Half of Banking Institutions Actively Assessing M&A

  379. Webinar
    Benchmarking for M&A success: Where does shareholder value reside and how can you maximize its benefits?

    Benchmarking for M&A success: Where does shareholder value reside and how can you maximize its benefits?

  380. Press Release

    Over Half of Alternative Investment Companies Have Not Revisited Their Structure since the Passage of Tax Reform

  381. Article
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    OCC announces national bank charter for fintech companies

  382. Press Release

    Nearly One-Third of Banking Audit Committees Now Require Both Financial and Information Technology Experts

  383. Press Release

    Nearly Half of Banking Institutions Have Not Formed a CECL Implementation Taskforce

  384. Press Release

    Nearly a Third of Financial Institutions Still Undecided on CECL Implementation Methodology

  385. Webinar
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    CECL implementation: loan segmentation

  386. Press Release

    Majority of Insurers Have Not Adopted Agile Methodologies within Internal Audit Function

  387. Case Study
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    BMI Federal Credit Union develops approach to understand and meet the needs of their small business members

  388. Whitepaper
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    The Federal Deposit Insurance Corporation Improvement Act (FDICIA): Key steps when approaching the $1 billion threshold

  389. Webinar
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    FDICIA implementation: Are you close to approaching the $1 billion threshold?

  390. Press Release

    Baker Tilly InsurTech Specialist Phil Schmoyer Named News Correspondent with The Digital Insurer

  391. Article
    Construction project leaders review the construction contracting process

    Professional employer organizations (PEO) may lead workers compensation to InsurTech

  392. Press Release

    33 Percent of Financial Institutions Have Not Tested Their Cybersecurity Incident Response Plan

  393. Webinar
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    CECL: 2017 financial statement requirements

  394. Press Release

    68 Percent of Financial Institutions Have Not Fully Evaluated Options for CECL Standard Implementation

  395. Press Release

    Baker Tilly Expands Financial Services Specialization in Chicago and the Midwest

  396. Article
    Cybersecurity and accounting updates from NAIC Summer 2017 National Meeting

    Cybersecurity and accounting updates from NAIC Summer 2017 National Meeting

  397. Whitepaper
    NYS DFS cybersecurity readiness checklist

    NYS DFS cybersecurity readiness checklist

  398. Article
    The challenge of liquidation basis of accounting

    The challenge of liquidation basis of accounting

  399. Article
    Accounting for equity interests other than the consolidation model

    Accounting for equity interests other than the consolidation model

  400. Webinar
    The Bank Secrecy Act and anti-money laundering system validation

    The Bank Secrecy Act and anti-money laundering system validation

  401. Case Study
    Financial institution enlists Baker Tilly to lead external quality assessment review (QAR) of their internal audit function

    Financial institution enlists Baker Tilly to lead external quality assessment review (QAR) of their internal audit function

  402. Article
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    Key topics presented at GAIM Ops Cayman

  403. Webinar
    The finalized NYS DFS cybersecurity regulations: The 12 month transition

    The finalized NYS DFS cybersecurity regulations: The 12 month transition

  404. Article
    NAIC risk focused examinations: Insurers, be prepared for your next examination

    NAIC risk focused examinations: Insurers, be prepared for your next examination

  405. Whitepaper
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    NYS DFS cybersecurity rules compliance guide

  406. Article
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    Where to domicile? Advantages and disadvantages of U.S. versus foreign domiciled blocker corporations

  407. Article
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    Attention! ASC 606 will affect insurers. Are you ready?

  408. Article

    Five best practices to manage hedge fund cybersecurity risks

  409. Article
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    Internal audit value optimization for insurance organizations

  410. Case Study
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    Efficient special investigation of indicted directors ensures on time sale of publicly held bank

  411. Article
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    Revisions to actuarial standards affect implicit OPEB liabilities

  412. Article

    Insider loan fraud: Regulation O violations

  413. Case Study

    Hedge fund chooses outsourcing to address complex audit and tax issues

  414. Case Study

    The Equitable Bank testimonial

  415. Article
    CFTC’s Consumer Protection Fund whistleblowers

    Whistleblowers – the future of the CFTC’s Consumer Protection Fund

  416. Multimedia
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    Insights into dealership banking

  417. Article
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    Key highlights from the SEC 2023 enforcement report

  418. Article
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    Digital transformation in insurance

  419. Article
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    Baker Tilly assists in Bank Secrecy Act and Anti-Money Laundering compliance

  420. Article
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    ABA conference focuses on legislation, economic uncertainty and digital assets

  1. Daniel Altschul

    Daniel I. Altschul

    CPA

    Principal

  2. Christine Anderson

    Christine Anderson

    CPA, CITP, CGMA

    Managing Principal – Growth Strategies

  3. Cecilia Angat

    Cecilia Angat

    CPA

    Principal

  4. Nirav Badani

    Nirav Badani

    CPA

    Principal

  5. Jason C. Barnes

    Jason C. Barnes

    CPA

    Principal

  6. Baker Tilly Professional

    John Basile

    CPA

    Principal

  7. Baker Tilly Professional

    Adam Bullock

    CPA

    Principal

  8. Baker Tilly Professional

    Sommer Cannon

    MBA, CPA

    Managing Director

  9. Zachary Carr

    Zachary Carr

    CPA

    Managing Director

  10. Paul Daddio

    Paul Daddio

    CFA, ASA

    Director

  11. Man Du

    Man Du

    CPA

    Director

  12. Brad E. Elmer

    Brad E. Elmer

    Managing Director

  13. Ashley Ferrell

    Ashley Farrell

    CPA, CFE, CFF

    Director

  14. Brad Fisher

    Bradley Fisher

    Director

  15. William Grady

    William Grady

    J.D., CLU®, CFP®

    Principal

  16. Rick Guillen

    Rick Guillen

    CPA

    Principal

  17. Mark Herzinger

    Mark Herzinger

    Principal

  18. Kenneth Hugendubler

    Kenneth N. Hugendubler

    CPA

    Principal

  19. Kimberly Jin

    Kimberly Jin

    CPA

    Principal

  20. Mathew O'Rourke

    Matthew O'Rourke

    CPA

    Principal

  21. Kristi Oates

    Kristi Oates

    CPA

    Principal

  22. Bridget Quinn

    Bridget Quinn

    CPA

    Principal

  23. John Romano

    John Romano

    CPA, CIA, CFE, CITP, CSM

    Principal

  24. Kevin D. Schalk

    Kevin Schalk

    CPA

    Principal

  25. Larry Smetana

    Larry Smetana

    CPA

    Principal Emeritus

  26. Christopher J. Tait

    Christopher J. Tait

    MBA, CISA, CCSK, CFSA

    Principal

  27. Keith Troutman

    Keith Troutman

    CPA, MBA

    Principal

  28. Frank J. Walker

    Frank J. Walker

    CPA, CFF, CVA

    Principal

  29. Baker Tilly Professional

    Lauri Webster

    CPA

    Managing Director

  30. Michael Windham

    Michael J. Windham

    PMP

    Director

  31. Jonathan Zeigler

    Jonathan Zeigler

    CPA, CITP

    Managing Principal

  32. Mark Boettcher

    Mark J. Boettcher

    CPA, CISA, CBCP

    Principal

  33. Dave DuVarney

    Dave DuVarney

    Principal

  34. Garrett Gosh

    Garrett Gosh

    CPA, CITP

    Principal

  35. Jim Kearney

    Jim Kearney

    CIA, CISA

    Director

  36. Kaelan Kearney

    Kaelan Kearney

    Director of Business Development

  37. Jim McCracken

    Jim McCracken

    Director

  38. Ivan Cilik

    Ivan Cilik

    CPA

    Principal

  39. Baker Tilly Professional

    Russell Sommers

    CPA, CISA

    Principal

  40. Corey Parker

    Corey Parker

    CIA

    Principal

  41. Baker Tilly Professional

    Phil Schmoyer

    CFE, CISA, AES, CSM

    Principal

  42. Bosco Yuen

    Bosco Yuen

    CPA, CISSP, CISA, CIA, CSX, CCSA, PMP

    Principal

  43. Carol Bolles

    Carol Bolles

    CPA

    Principal

  44. Daniel E. Buttke

    Daniel E. Buttke

    CPA

    Principal

  45. Emily Di Nardo

    Emily Di Nardo

    CPA, CITP, HITRUST CHQP

    Principal

  46. Matthew Johnson

    Matthew D. Johnson

    CPA, CITP

    Principal

  47. Eric Kegler

    Eric M. Kegler

    CPA

    Principal

  48. Matt Nitka

    Matt J. Nitka

    CPA

    Principal

  49. Brian P. Rozek

    Brian P. Rozek

    CPA

    Principal

  50. Nikki Bielick

    Nicole E. Bielick

    CPA

    Principal

  51. Baker Tilly Professional

    Lauren Hayes

    CPA, CIA

    Principal

  52. Tanya Thomas

    Tanya M. Thomas

    CPA, CGMA

    Principal

  53. Michelle Doyle

    Michelle Doyle

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  54. Lori A. Catapano

    Lori Catapano

    CPA

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  55. Les Kulin

    Les Kulin

    LL.M., J.D.

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  56. Joe Donnelly

    Joe Donnelly

    CPA

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  57. Chuck Kronmiller

    Chuck Kronmiller

    CPA

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  58. Baker Tilly Professional

    John Heyde

    CPA

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    Gideon Gradman

    Managing Director

  60. Nate Voss

    Nate Voss

    Principal

  61. TJ Beary

    Timothy J. Beary

    CPA, EA

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  62. Bryan Halpin

    Bryan Halpin

    Director

  63. Tyler R. Inda

    Tyler R. Inda

    J.D.

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  64. Baker Tilly Professional

    Bernard Regan

    MSc, MBCS

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  65. Simon P. Oddy

    Simon Oddy

    FCA, CFE, MCIArb

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  66. Derek W. Royster

    Derek W. Royster

    CPA, ABV, CFF, CFE

    Principal

  67. Ben Hobby

    Ben Hobby

    FCA, Dip CII

    Principal

  68. Keith Tuffin

    Keith Tuffin

    FCCA, MAE, MCIArb

    Principal

  69. Janet Twombly

    Janet Twombly

    Director

How can you move your organization toward the future you envision? Work with professionals who understand your financial services company and will talk with you about your challenges to help you find the right solution.

Our solutions

The financial services industry continues to diversify, but competition and more complex vendor relationships make determining business strategy more complicated.

Have confidence in our ability to assist your organization in attaining your goals because of our experience providing solutions for business needs.

  • Banking and capital markets
  • Asset management
  • Insurance

Banking and capital markets sector

  • Commercial banks
  • Community banks
  • Credit unions
  • Fintechs
  • Mortgage bankers
  • Nontraditional lenders
  • Savings institutions
  • Student loan organizations

Asset management sector

  • Broker-dealers
  • Family office/high net worth family owners
  • Funds of funds
  • General partnerships and their principals
  • Health and welfare funds
  • Hedge funds
  • Institutional investors
  • Management companies
  • Pension funds
  • Private equity firms and funds
  • Real estate investment funds and holding companies
  • Real estate investment trusts (REITs)
  • Registered investment advisors (RIAs)
  • Securities exchanges
  • Venture capital firms

Insurance sector

  • Health plans
  • InsurTechs
  • Life insurance
  • Medical/professional liability
  • Mutual insurance companies
  • Property and casualty insurance
  • Reinsurance
  • State insurance regulators
  • Insurance agencies and brokers

Grow your business

  • Agent talent strategies
  • Analytics, dashboarding and business intelligence
  • Board and audit committee advisory
  • Buy-side and sell-side advisory
  • Capital raising solutions
  • CFO advisory services
  • Cost segregation studies
  • Customer experience enhancement
  • Demutualization consulting
  • Employee stock ownership (ESOP) valuations
  • Fund formation and structuring
  • Go-to-market roadmap development and implementation
  • Growth strategy assessment and alignment
  • Market assessment
  • Merger and acquisition tax structuring
  • Payment transformation
  • Product and service innovation and launch effectiveness
  • Risk optimization
  • Strategic advisory
  • Structure review
  • Structured finance support
  • Tax credits and incentives
  • Transaction advisory, due diligence, structuring and capital formation

Optimize resources

  • Agile internal auditing
  • Benchmarking studies
  • Board and department level training
  • Change management
  • Cost containment strategies
  • Data analytics and business intelligence
  • Executive search
  • Federal, multi-state and local tax planning and compliance
  • Financial modeling and decision support
  • Financial ratios
  • HR consulting and benefits administration
  • Internal audit
  • IT operations management
  • Management company staff requirements and back office structuring
  • Outsourced and co-sourced accounting and internal audit services
  • Resource optimization
  • Robotic process automation (RPA)
  • Strategic planning facilitation
  • Sub chapter S planning
  • Tax credits and incentives
  • Vendor management services
  • Workforce and talent management

Manage risk and compliance

  • Assessments of internal controls
  • Business continuity planning/disaster recovery
  • Bank Secrecy Act (BSA)/Anti-money laundering (AML)/ USA PATRIOT Act compliance
  • CFPB and other consumer finance compliance assessments
  • Complex commercial dispute support
  • Compliance reviews
  • Comprehensive risk assessment framework
  • Credit and operational risk consulting
  • Cyber policy and program development, risk assessment and consulting
  • Cyber risk insurance analysis
  • Data privacy assessment, design and implementation
  • Enterprise risk management and ORSA assessments
  • FDICIA assistance
  • Foreign Corrupt Practice Act (FCPA) compliance
  • Fraud and forensics
  • HIPAA security assessments
  • Infrastructure stability
  • Internal audit co-sourcing and outsourcing
  • Litigation support
  • Loan reviews and collateral reviews
  • Major claims forensics
  • Market conduct investigations
  • NYS DFS cyber readiness and compliance
  • Office of Foreign Assets Control (OFAC) and Sanctions compliance
  • Payment card industry (PCI) compliance
  • Pricing and rate analysis
  • Regulation AB assessments and compliance
  • Regulatory compliance:
    – FINRA Rule 3310
    – Gramm-Leach-Bliley Act
    – RESPA/Regulation Z/Dodd Frank
    – USA Patriot Act
  • Review of reserves
  • Risk or economic capital modeling
  • Sarbanes-Oxley (SOX) compliance and implementation assistance
  • Securitization due diligence
  • Security assessment (external/internal)
  • State risk-focused insurance examinations
  • Third party data center reviews
  • Trust department reviews

Gain assurance

  • ALLL/CECL (current expected credit loss) model validation
  • Actuarial due diligence and review of fair value reserves
  • Agreed upon procedures (AUP) reports
  • Attest audit and examination opinions
  • Audits of onshore and offshore funds
  • Certification of loss reserves
  • Corporate and intangible asset valuations
  • Corporate governance annual disclosure assistance
  • Due diligence
  • Employee benefit plan audits
  • Fairness opinions
  • Federal, multistate and international tax
  • Fraud and investigations
  • GIPS® verifications
  • Information systems examinations
  • Investor liquidity requirements
  • IRS practice and procedures
  • Management company operating cash requirements
  • Management fee and incentive allocation structure
  • Model Audit Rule (MAR) implementation assistance
  • Model validation
  • Operational and compliance attestation
  • Preparation of fund, management company, general partner and principals tax returns, and K1s
  • Processes and controls documentation and testing
  • Quality assurance review (QAR)
  • Reinsurance consulting
  • REIT quarterly and annual testing
  • Risk assessment and planning
  • Securities and Exchange Commission (SEC) filings
  • SOC 1, SOC 2 and SOC 3 reporting services
  • State nexus consulting
  • Valuations
  • Verification of performance results
They are more than consultants. The Baker Tilly team raised the quality of our internal audit and risk management functions and helped us through the change management required to ensure success. We are extremely pleased with their work.
Craig Campbell, Chief Administrative and Risk Officer, WPS Health Solutions, Wisconsin Physicians Service Insurance Corp.

Case studies

Case Study
Multibillion dollar mutual insurance company saves time, money and mitigates risk with a strategic health check

Multibillion dollar mutual insurance company saves time, money and mitigates risk with a strategic health check

Case Study
Large multistate health plan implements healthcare analytics platform expanding quality management and risk reporting capabilities

Large multistate health plan implements healthcare analytics platform expanding quality management and risk reporting capabilities

Case Study
healthcare using data analytics

Large multistate health plan enables performance in value-based program using shared analytics

Advisors meet to discuss a client project at a computer
Specialty spotlight

Explore our financial crimes solutions

Protect your lending institution, customers, community and the global economy.

An estimated $800 billion to $2 trillion is laundered every year by nefarious groups and individuals. Stay ahead of the curve with technology led solutions. Our Financial Crimes specialists bring together industry-leading solutions and investigative experience to strengthen your control environment, prevent and detect financial crimes and reduce regulatory risk.

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Our services

  1. cybersecurity

    Cybersecurity

    Proactively protect and address your cybersecurity and information technology (IT) risks.
  2. Man looking at window of data

    Data Solutions

    Capturing, understanding and leveraging the data that matters most and bringing it into focus is no trivial matter. Rely on our experience to drive your business forward.
  3. Team members review successful project on a tablet

    Market, Sales & Service

    Transform your market, sales and service functions to meet evolving customer demands. We help organizations define their customer experience and go-to-market strategy.
  4. Two women meet to discuss tax strategy

    Tax

    Contributing to clients’ success by accelerating tax deductions, increasing tax credits, reducing cash taxes and mitigating risks

Related industries

  1. Real estate investor looking for asset management solutions

    Asset Management

    Be efficient, compliant and transformative with the right operational strategies for your goals, and the right asset management industry advisors to help get you there.
  2. Customer banking at ATM | capital markets advisory

    Banking & Capital Markets

    With the banking industry (and world) in a state of digital transformation and change, you need a team that can assist in navigating challenges and charting a new course.
  3. Customer depositing check to community bank via smartphone technology

    Community Banks

    Faced with changing regulatory requirements, intense technology disruption and an accelerated M&A environment, community banks need specialized financial and operational solutions tailored to their size.
  4. Couple admires their new home

    Consumer Lending

    Baker Tilly lending industry professionals collaborate with mortgage, student loan, automotive and other lending organizations to enhance analytics and process governance.
  5. Credit union customer being served by teller

    Credit Unions

    Baker Tilly financial institutions practice leaders work with credit unions to help them enhance member experience, deliver on their mission and grow their institution.
  6. Team holds a strategy meeting about health plan solutions

    Health Plan Solutions

    Innovate care while managing costs and compliance with our health plan solutions 
  7. Aerial view of a highway interchange

    Insurance

    Navigating the ever-changing insurance industry while also meeting compliance requirements and staying ahead of quickly developing technology can be overwhelming. Chart your legacy and reach your financial and operational goals: Your journey starts here.
  8. Analyst reviewing data via an insurtech system

    Insurtech

    Insurtech’s rapidly evolving environment means innovation is both your best growth opportunity and your biggest competitor. Work with a team that can help you win your race.
  9. Group of private equity services professionals meeting with tablet and charts

    Private Equity & Portfolio Companies

    From private equity firms and their portfolio companies to family office, Baker Tilly leverages industry knowledge and operational experience to offer clients value from the fund level down through the entire portfolio.
On a scale of 1-10, I would give a 15. I always recommend Baker Tilly to our joint venture partners.
Vice president of private equity firm

Our clients

Good people, good communicators and balanced in their approach.
Private equity fund client

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