Successfully Navigating Through Regulatory Risks

We understand your company’s success relies on maintaining trusted relationships with your customers, clients, and investors. Complying with regulatory requirements and managing risk are key to keeping the positive reputation your financial services company has worked so hard to establish.

Our team of financial services industry specialists serves both Alternative Investment Funds and Registered Investment Funds, combining deep industry expertise with practical guidance. We partner with you to help your business stay ahead of regulatory changes, meet compliance requirements, and navigate SEC, FINRA, and SIPC regulations with confidence.

Registered with the Public Company Accounting Oversight Board (PCAOB) since its inception and subject to regular inspections.

Who We Serve

Alternative Investment Funds

- - - Fund of Funds
    - Hedge Funds
    - Private Equity Funds
    - Master-Feeder Funds
    - Offshore International Funds
    - Real Estate Funds
    - Venture Capital Funds

Registered Investment Funds

- - - Mutual Funds (Form N-CSR Annual Filing)
    - Exchange-traded Funds

Broker Dealers

- - - Introducing/Non-clearing Retail Brokers
    - Investment Banking

Registered Investment Advisors

- - - SEC Registered
    - State Registered
    - Exempt Reporting Advisors

Financial Services Offerings

Tax, Audit, and Consulting for Your Business

Consulting and Advisory Services

Agreed Upon Procedures on historical performance results
Cybersecurity
Due Diligence
Consulting on Fair Value Measurements
Global Investment Performance Standards (GIPS®)
Mergers and Acquisitions
Offshore fund audit partnership with firms in the Cayman Island, Bermuda and Mauritius
Regulatory compliance for SEC, FINRA, and SIPC
Succession Planning
Strategic Business Planning

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Assurance Services

- - - Financial Statement Audits that comply with SEC Rules 17A-5, 204 & 206
    - Surprise Custody Examinations
    - Agreed Upon Procedures that comply with SIPC requirements
    - Exemption Provision Reviews

Tax Services

- - - Income Tax Planning and Compliance
    - Investor Income Allocation
    - Nexus, Apportionments and Multi-State Issues
    - Protective Filings for Foreign Bank and Financial Accounts (FBAR) and Foreign Controlled Assets
    - Taxation of Carried Interests

“Having used ‘Big Four’ audit and tax firms for decades, we find Keiter’s service to be superior. We value our personal relationship with the Keiter team and often seek their advice. Their professionalism and knowledge make them a trusted partner in our financial and regulatory operations.”

— Laura P. McGrath, James River Financial Corp.