We help broker-dealers and investment advisors stay in compliance.
Does your risk advisory team include former regulators and chief compliance officers? Ours does. We can help you stay in compliance and out of trouble with regulators because we know the financial services industry inside and out. We provide unique perspective and insight into current regulatory expectations so you can focus on your core business objectives and bottom line.
Kaufman Rossin’s financial services industry professionals have extensive experience helping broker-dealers and investment advisors comply with:
- Financial Industry Regulatory Authority (FINRA)
- Securities and Exchange Commission (SEC)
- USA PATRIOT Act
- Bank Secrecy Act (BSA)
- Office of Foreign Assets Control (OFAC)
- Foreign Corrupt Practices Act (FCPA)
We’ve been performing independent audit, tax, accounting and consulting services for broker-dealers, both self-clearing and fully disclosed, for decades. From financial statements audits to complex transaction analysis and tax planning strategies, Kaufman Rossin can be your greatest resource.
Our team includes former FINRA regulators who have supervised FINRA’s national anti-money laundering examination team, led a broker-dealer’s anti-money-laundering (AML) department and trained financial services professionals on numerous regulatory issues.
Do you need help evaluating your anti-money laundering compliance program? We help broker-dealers and investment advisors design, review and enhance their AML programs to mitigate risks. Our forensic accountants are experienced in investigating complex money laundering and fraud schemes in North America, Central and South America and the Caribbean.
Are you maximizing profits and performance? Our business advisory services team can help you streamline processes and maximize the return on your IT investments.