Financial Services Capabilities

Industry specialists at your service

With an in-depth knowledge of the industry and its products and operating methods, our professionals are uniquely qualified to advise clients on the latest regulatory changes and the rules that affect them. Many of our financial services specialists have real world industry experience, enabling us to address the day-to-day business situations organizations may encounter.

Insights / Capabilities

Our knowledge includes:

  • Investment company accounting, tax and regulatory rules
  • Complex financial instruments, transactions, formation and structuring
  • Portfolio valuation issues
  • Fund of funds manager due diligence
  • Mutual Fund and Hedge fund operations control due diligence
  • Performance attestation
  • ASC 820 Fair Value Implementation 
  • Assistance with drafting valuation policies and procedures
  • ASC 740 implementation
  • Risk management
  • Internal audit
  • Internal controls
  • Technology needs, process redesign and best practices
  • Anti-money laundering requirements
  • SEC and CFTC net capital rules
  • CFTC segregation and secured rules
  • SEC customer protection rules
  • Federal Reserve regulations T, U and X
  • DSRO margin rules
  • FINRA and NFA rules
  • Securities Lending
  • Fund Mergers
  • Domestic and International withholding issues
  • Domestic and International tax reporting issues
  • Investment performance attestation services
  • GIPS verification and performance examination

As one of the largest organizations in the country serving the financial services community, we have the resources, knowledge and experience to serve traditional funds, hedge funds and broker-dealers and futures commission merchants.


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