You need to build investor confidence, comply with regulations, and determine values of complex financial instruments.

Rely on our financial services team for specialized tax and audit expertise and deep knowledge of investment funds (registered and non-registered), broker-dealers, investment advisors, investment partnerships, and private equity. Services include:

  • Fully disclosed brokerage audits
  • Fund-specific tax planning and compliance
  • Global Investment Performance Standards (GIPS®) verifications
  • Hedge fund and investment partnership audits
  • Registered mutual fund audits
  • Private equity audits
  • Surprise custody examinations and controls testing
  • Compliance testing (Rule 38a-1 et. al)
  • Tax planning and partner tax allocations
  • Start-up services including due diligence and fund formation and structuring consulting

Our firm is registered with the Public Company Accounting Oversight Board (PCAOB).

Download a SOC report review template

Download a SOC report review template

Vendor management is becoming increasingly complex as more vendors are providing more services, often handling sensitive data with specific regulatory requirements. Service Organization Controls (SOC) reports are a key component in the process. Download this complimentary template to assist your organization in reviewing SOC reports from your third party vendors.

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ASC 606, revenue recognition standard, may impact broker-dealers

ASC 606, revenue recognition standard, may impact broker-dealers

The initial belief within the industry was that the new revenue recognition standard would not have a significant impact on broker-dealers. However, the AICPA Brokers and Dealers in Securities Revenue Recognition Task Force has recently released a listing of nine potential revenue recognition implementation issues.

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Our Take

image of Christine M. Anderson

“For asset management entities balancing regulatory requirements with profitable growth, we provide the right mix of large-firm resources, local in-person service, and specialized expertise.”

— Christine M. Anderson Managing Partner of Assurance and Firm Financial Services Industry Leader, CPA, CITP