Brokerage and Trading
Broker-dealers face increased scrutiny and ever-changing rules and regulations. To help address the complex issues facing these highly regulated businesses, we bring together our industry professionals and extensive experience to provide advice and guidance to broker-dealers across the nation. We provide audit, tax and consulting services to clearing firms, proprietary trading firms, investment banking firms, and introducing firms.
INVESTMENT INDUSTRY INSIGHTS
The SEC has addressed the net capital treatment of deferred taxes related to certain capitalized costs under ASC 606 and ASC 340.
Analysis and insights from RSM financial services specialists on accounting standards, tax strategies, cybersecurity and other issues.
The Financial Accounting Standards Board (FASB) will begin requiring operating leases to be recorded on the balance sheet in 2019.
FINANCIAL REPORTING INSIGHTS
Broker dealers now need to only file their annual reports for SIPC and FINRA once using FINRA’s existing reporting portal.
A summary of regulatory guidance from FINRA and the SEC and the importance of continually focusing on liquidity risk management procedures.
The SEC’s Electronic Data Gathering, Analysis and Retrieval (EDGAR) system has been updated to simplify the electronic filing process.
Leases will require a lessee to recognize on its balance sheet assets and liabilities for all leases other than short-term leases.
Wright v. Commissioner contradicts Tax Court rulings and IRS’ formal position on treatment of OTC FX options as section 1256 foreign currency contracts.
Investment Industry Insights
This bi-monthly newsletter focuses on accounting, tax and regulatory news for the asset management industry.
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.
AML & Regulatory 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
Brokerage and Trading Practice Leader