Financial Services

Accounting standards. Industry regulations. Ever-evolving tax rules. New legislation.

With more than 50 years of experience serving the financial services community in key financial hubs, we help organizations navigate complex reporting, governance and regulatory issues to achieve their business objectives. We serve alternative investment companies, investment advisors, investment partnerships/hedge funds, private equity funds, broker-dealers and futures commission merchants.

Insights / Capabilities

Featured Insight

RSM Hedge Fund Insights 2016


RSM Hedge Fund Insights 2016

RSM’s new report offers insights on nine key issues confronting hedge funds, including cybersecurity, investor relations, taxes and more.

  • November 14, 2016
5 trends to watch in hedge fund investor relations


5 trends to watch in hedge fund investor relations

There is a growing demand for transparency that is having a fundamental impact on the client-service role for hedge fund managers.

  • John Hague
  • |
  • August 04, 2016

Popular Insights

RSM Anti-Money Laundering Survey


RSM Anti-Money Laundering Survey

The RSM AML Survey was developed to help banks understand best practices and benchmark their AML compliance efforts against peers.

  • September 01, 2017


How the regulatory environment is reshaping data governance

Learn how effective data governance can enhance performance and alignment to regulatory requirements in this insight article.

  • Dan Meers
  • |
  • September 01, 2017


Key amendments to mortgage servicing rules

Learn the amendments to mortgage services rules with the greatest impact. Many of the new regulations have an effective date of April 2018.

  • August 31, 2017


IRS issues guidance for BDCs and Mutual Funds

The IRS recently issued guidance regarding the treatment of part cash/part stock distributions of regulated investment companies.

  • August 30, 2017


FINRA and SIPC streamline broker-dealer reporting process

Broker dealers now need to only file their annual reports for SIPC and FINRA once using FINRA’s existing reporting portal.

  • August 08, 2017


RSM's AML Survey identifies 7 AML trends in banks

This infographic breaks down the key findings from the RSM AML Survey of banks, including insights into budgets, staffing and operations.

  • August 03, 2017


GP Operations Compendium: Making the complex simple

Improving the many functions that reside in the private equity back office. Learn how to make the complex simple.

  • July 17, 2017


Data analysis and predictive modeling: A new approach to risk culture

Learn how financial services organizations can leverage data to assess risk culture and reduce the potential of damaging headlines.

  • Peter Brady
  • |
  • July 01, 2017


Enhance performance with incentive compensation programs

Learn to identify potential ICP control gaps and verify your control environment is well-designed and working as intended.

  • Dan Shumovich
  • |
  • June 15, 2017


2017 economic outlook and the prospect for reform

RSM’s Chief Economist provides bank executives economic insights at the annual Western Independent Bankers Conference

  • June 15, 2017


Investment Industry Insights
The quarterly newsletter follows developments in accounting and finance and places them in the context of current events and changes in economic and marketplace trends.

Financial Institution Insights
delivers news and information critical to community banking professionals. The bi-monthly newsletter tackles issues ranging from IT security to regulatory compliance to operational improvement.

Compliance News
Compliance news for the banking and investment industry. Gain insights about the latest compliance news and how it will affect your business.

How can we help you??

To discuss how our team can help your business, contact us by phone 800.274.3978 or

Events / Webcasts


Jim Greisch
National Financial Services Practice Leader