Stockbrokers/self-employed and investment advisors
We help broker/dealers and investment advisors meet today’s demands.
Do you love dealing with regulatory bodies? We believe not, but ignoring their priorities carries a real risk.
You didn’t get into this business to spend all your time complying with regulatory standards. However, it’s an area you can’t ignore if you hope to stay in this business.
Regulatory bodies focus on some very specific areas and priorities, and your company would do well to pay attention.
As FINRA and the Securities and Exchange Commission (SEC) continue to advance their mission of protecting investors, brokers/dealers, and investment advisors will face increased pressure in areas such as combating money laundering, sales practices, safeguarding assets and customer information, and performing their duties with the client’s interests in mind.
Are you prepared to address these issues while executing your market strategy in potentially volatile markets?
That’s where we come in.
For decades, we’ve been providing consultancy services on regulatory compliance for regulatory bodies, as well as independent services in auditing, taxes, accounting, and consulting for brokers/dealers and investment advisors.
From independent testing in accordance with Anti-Money Laundering (AML) regulations, supervision control assessments, compliance program reviews and record-keeping needs, to financial statement audits, complex transaction analysis, and tax planning strategies, Kaufman Rossin can be your best resource.
We provide unique insights into current expectations regarding regulatory requirements from regulatory bodies so that you can focus on your business and net profits.
Our team includes former officials from FINRA and the SEC who were responsible for examining brokers/dealers and investment advisors and training financial services professionals on numerous regulatory issues.
Do you need help evaluating your Anti-Money Laundering (AML) compliance program? We assist brokers/dealers and investment advisors in designing, reviewing, and enhancing their AML programs to mitigate risks.
Our forensic accountants have experience investigating complex money laundering cases and frauds in North America, Central America, 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 IT investments.
We assist brokers/dealers and investment advisors in compliance with:
- Financial Industry Regulatory Authority (FINRA)
- Securities and Exchange Commission (SEC)
- DOL PTE 2020-02
- U.S. Patriot Act
- Bank Secrecy Act (BSA)
- Office of Foreign Assets Control (OFAC)
- Foreign Corrupt Practices Act (FCPA)
