Broker-Dealers & Investment Advisers
We help broker-dealers and investment advisers stay in compliance.
Love dealing with regulators? We didn’t think so. But ignoring their priorities has a real risk.
You didn’t get into this business to spend all your time on regulatory compliance. But it’s an area you can’t ignore… if you expect to stay in this business.
Regulators are focused on some very specific areas and priorities, and your firm would do well to pay attention.
As FINRA and Securities and Exchange Commission continues to press forward on their mission to protect investors, broker-dealers and investment advisers will see increased pressure in areas like anti-money laundering, sales practices, protection of customer assets and information, and acting in the client’s best interest.
Are you prepared to address these issues, while executing your market strategy in potentially volatile markets?
That’s what we’re here for.
We’ve been providing regulatory compliance consulting services, as well as performing independent audit, tax, accounting and consulting services for broker-dealers and investment advisers for decades.
From AML independent testing, Supervisory Controls assessment, compliance program reviews, and registrations needs, as well as financial statements audits to complex transaction analysis and tax planning strategies, Kaufman Rossin can be your greatest resource.
We provide unique insight into current regulatory expectations so you can focus on your business and bottom line.
Our team includes former FINRA and SEC regulators who have led broker-dealers and investment adviser examinations, 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 advisers 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.
We help broker-dealers and investment advisers comply with:
- Financial Industry Regulatory Authority (FINRA)
- Securities and Exchange Commission (SEC)
- DOL PTE 2020-02
- USA PATRIOT Act
- Bank Secrecy Act (BSA)
- Office of Foreign Assets Control (OFAC)
- Foreign Corrupt Practices Act (FCPA)
