Assurance Services

Agreed-upon procedures

Mohle Adams agreed upon procedures can be tailored to suit your needs. Contact one of our partners to discuss how.

Our role in agreed-upon procedures (AUPs) is to examine specific subject matter and report the findings.

Examples of our AUP engagements include procedures related to:

  • Business acquisition or divestiture activities
  • Investigations of fraud related activities
  • Compliance with contractual matters
  • Cash receipts and disbursement reconciliations
  • Capital allocation and compensation matters
  • Testing of investment advisory fees charged to client accounts
  • Trust-company fiduciary activities governed by the Texas Department of Banking (by auditors responsible only to the board of directors)
  • Surprise examinations of investment advisers who have custody of client funds under Rule 206 (4)-2 of the Investment Advisors Act of 1940, and timely submission of Form ADV-E to the Securities and Exchange Commission at the conclusion of the examination
Main Contacts

Main Contacts


Michael A. Till
CPA – Partner


Su Wah
CPA/CITP – Partner