Home / Areas Of Practice / Governance, Compliance & Ethics

Nonprofit organizations are governed by boards of directors in accordance with each organization’s purposes, articles, and bylaws. It is the configuration and administration of these underpinnings that form the core of an organization’s governance, compliance and ethics practice area.

A compliance audit reviews and tests a nonprofit’s organization and operation.  Compliance reviews examine federal, state and local regulatory measures that apply to the organization, and determine whether or not the laws and regulations are being followed. We help nonprofit and tax exempt organizations with various state and federal regulatory requirements, including board of directors’ requirements and governance issues, annual state filings, IRS notifications, IRS annual information returns, and record keeping requirements.

We provide advice on:

  • Governance structure (for example, whether the board of directors will be designated by a third party, elected by a membership or self-perpetuating)
  • Governing instruments, including preparation of articles of incorporation and bylaws in compliance with applicable state and federal laws
  • Fiduciary duties and responsibilities of directors and officers
  • Corporate policies, including policies on conflicts of interest, investments, endowment spending, document retention, whistleblower protection, and gift acceptance
  • Drafting board, committee, and member resolutions
  • Risk management, including advice on insurance needs, personnel policies, and other internal procedures
  • Conducting a compliance review with laws and best practices

Ongoing representation from Philip Haney Associates provides the guidance and legal support your organization needs to remain in compliance with nonprofit regulations and laws.


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