During the planning phase, the auditor also begins to plan the scope of the audit and to determine what ... The auditor will begin to interview employees in different areas of the organization ...

Jason Vinsonhaler, director of compliance at RIA in a Box, notes that undergoing a regulatory audit can be extremely stressful for an RIA firm, especially for the firm's CEO and chief compliance ...

All covered entities (CE) and business associates (BA), literally anyone that accesses, uses or discloses PHI (Protected Health Information) needs to be aware of this new Phase 2 audit program.