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Azcourts.gov

Arizona Judicial Branch


Compliance Audit

Licensed Fiduciary Compliance Audit


The fiduciary compliance audits assess the adherence of licensed individual, business and public fiduciaries with the following: Arizona Revised Statutes, Arizona Supreme Court Rules of Probate Procedure and the Arizona Code of Judicial Administration including the Code of Conduct by which all licensed fiduciaries must abide. Moreover, the audits provide a mechanism by which the Supreme Court fulfills it statutory oversight responsibility.

The audit process consists of interviews with the fiduciary and any unlicensed staff, an evaluation of the fiduciary's policies and procedures, a review of any relevant court records and an in-depth case file review. A final report is provided to the licensed fiduciary and any interested parties prior to being posted to the Arizona Supreme Court website.


FOR YOUR INFORMATION

Administrative Order 2003-31 How to Prepare for an Audit
Fiduciary Compliance Attributes Five Most Common Audit Findings
 Final Audit Reports

 

Contact the Fiduciary Licensing Program at:  pfp@courts.az.gov
1501 West Washington Street, Suite 104
Phoenix, Arizona  85007
Telephone: (602) 452-3378
Text Telephone (TT) for the hearing impaired:  (602) 452-3545
Fax: (602) 452-3958