Financial Services Industry

investment Private equity funds, hedge funds, real estate and other investment funds and broker dealers in securities face complex challenges to comply with today’s ever-changing regulatory environment. Management companies and registered investment advisers are under more government scrutiny. To be successful, you must be proficient in your accounting and financial reporting and tax processes and stay in compliance with the rules and regulations of the SEC, FINRA, FASB, IASB, stock and commodities exchanges and other regulatory and standard setting organizations. We can apply our comprehensive industry and technical expertise to help you be compliant and minimize your risk, and help you achieve your goals.

At RotenbergMeril, we offer a wide variety of accounting, audit, tax and valuation services to the financial industry. Our firm is registered with the United States Public Company Accounting Oversight Board (PCAOB) and the Canadian Public Accountability Board (CPAB) and we are a member of the American Institute of Certified Public Accountants (AICPA) and its Center for Audit Quality. These organizations require us to have specific high quality control policies and procedures in place for our audit practice. Furthermore, our partners and team members bring their international and national accounting firm expertise to every engagement, providing efficient engagements, and timely and valuable information in a personalized and attentive manner.

One Size Does Not Fit All.

The broker-dealer industry is a unique industry that is highly regulated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). When it comes to broker-dealer audits, it’s important to hire experts with an established reputation who can stay on top of the constant changes in the broker-dealer regulatory environment.

At RotenbergMeril, we understand that it is critical for our broker-dealer clients to meet all regulatory, financial, and internal control requirements. We are PCAOB-registered, which ensures our audit practice maintains the highest quality control policies and procedures. Our vast experience and cutting-edge technology give us an advantage in promptness to complete audits quickly and accurately with reasonable fees. This efficiency, coupled with our personalized approach, makes us the clear firm of choice for many broker-dealers.

It may be time to re-evaluate your broker-dealer auditing services. If you are in need of a broker-dealer audit or any of our other services for the securities industry, please
contact us today.

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