• Investment Companies Qualifications and Services

    Last year was an extremely active year for AML fines. FINRA has taken the lead, but the SEC will follow closely. Download the Investment Companies Qualifications and Services Brochure to learn more.

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  • Financial Institutions Qualifications and Services

    As financial transactions grow increasingly complex and expand globally, financial institutions’ risk rating models and monitoring systems face greater scrutiny. Download the Financial Institutions Qualifications and Services Brochure to learn more.

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Broker-Dealers & Investment Advisers

We help broker-dealers and investment advisers 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 advisers comply with:

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 consulting services team can help you streamline processes and maximize the return on your IT investments.


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Questions? Let us know how we can help you or your business.