Due Diligence &
Compliance Services
Stay IRS-compliant, avoid costly penalties, and protect your tax business with comprehensive due diligence services designed specifically for EROs and tax professionals.
IRS Alert: Non-compliance penalties can reach $250,000+ and include criminal prosecution. Don't risk your business.
Complete Compliance Coverage
From EFIN verification to cybersecurity assessments, we cover every aspect of tax preparer compliance.
EFIN & PTIN Verification
Complete verification of Electronic Filing Identification Numbers and Preparer Tax Identification Numbers to ensure IRS compliance.
- Real-time IRS database checks
- Credential expiration monitoring
- Automated renewal alerts
- Compliance history review
Background Screening
Comprehensive background checks for tax preparers and staff to protect your business and clients.
- Criminal background checks
- Credit history review
- Professional license verification
- Reference verification
Regulatory Compliance Audit
Full audit of your tax practice to ensure adherence to IRS Circular 230, state regulations, and industry standards.
- Circular 230 compliance review
- State licensing verification
- Annual Filing Season Program status
- Continuing education tracking
Document Retention Review
Ensure your document retention policies meet IRS requirements and protect you in case of audit.
- Record-keeping assessment
- Digital storage compliance
- Retention schedule creation
- Secure destruction protocols
Anti-Money Laundering (AML)
Implement robust AML procedures to detect and prevent financial crimes through your tax practice.
- Customer identification programs
- Suspicious activity reporting
- Risk assessment procedures
- Staff training programs
Data Security Assessment
Evaluate and strengthen your cybersecurity posture to protect sensitive taxpayer information.
- Security vulnerability scanning
- Written Information Security Plan
- Incident response planning
- Employee security training
ERO Compliance Checklist
How does your practice measure up? Use this checklist to identify potential compliance gaps before they become costly problems.
Not Sure Where You Stand?
Our compliance experts will conduct a thorough review of your practice and identify any gaps before the IRS does.
Complete Practice Audit
Every aspect of your operations reviewed
Detailed Report
Actionable recommendations included
48-Hour Turnaround
Fast results when you need them
IRS Penalties for Non-Compliance
Understanding the consequences of non-compliance is the first step to protecting your practice.
| Violation | Penalty | Severity |
|---|---|---|
| Filing returns without valid PTIN | $50 per return (no maximum) | HIGH |
| Failure to sign returns | $50 per return (max $27,000) | MEDIUM |
| Understatement due to unreasonable position | Greater of $1,000 or 50% of income | HIGH |
| Willful or reckless conduct | Greater of $5,000 or 75% of income | CRITICAL |
| Failure to furnish copy to taxpayer | $50 per return (max $27,000) | MEDIUM |
| Identity theft facilitation | Criminal prosecution + $250,000+ fines | CRITICAL |
Important Note
These penalties can be assessed per return, per violation. A single compliance issue could result in penalties exceeding your annual revenue. Prevention is significantly cheaper than cure.
Protect Your Practice Today
Choose the compliance package that fits your practice size and needs.
Compliance Starter
Perfect for solo preparers getting started
- EFIN/PTIN verification
- Basic compliance checklist
- WISP template
- 1 hour consultation
- Email support
Full Compliance Audit
Comprehensive audit for established practices
- Everything in Starter
- Full regulatory compliance audit
- Background screening (up to 3 staff)
- Data security assessment
- Document retention review
- Custom compliance manual
- 3 hours consultation
- 90-day follow-up support
Enterprise Compliance
Ongoing compliance for multi-location operations
- Everything in Full Audit
- Unlimited background screenings
- AML program development
- Quarterly compliance reviews
- Staff training programs
- Audit representation prep
- Dedicated compliance officer
- 24/7 priority support
Don't Wait for the IRS to Find Problems
Take control of your compliance today. Our experts will identify and fix issues before they become costly penalties.