Staff Spotlight: Andrew Sledd

From accounting intern to partner The accounting internship that launched his career When Andrew Sledd began the Keiter summer internship program in 2005, he did not expect it would lead…

Andrew K. Sledd

Andrew serves as an advisor to Keiter’s financial services client base sharing his expertise in navigating the complex regulatory environment faced by broker/dealers in securities, investment advisors and alternative investment…

Updates on Regulation Best Interest (Reg BI)

By Andrew K. Sledd, CPA, CFE, Business Assurance & Advisory Services Partner | Financial Services Industry Team Leader In June 2019, the Securities and Exchange Commission (SEC) released Regulation Best…

Navigating the DOL Fiduciary Rule

By Andrew K. Sledd, Business Assurance & Advisory Services Senior Manager | Financial Services Industry Team In April 2016, the Department of Labor (DOL) issued its final rule expanding the…

Dodd-Frank Rulemaking Era Coming to a Close

By Andrew K. Sledd, Business Assurance & Advisory Services Audit Senior Manager | Financial Services Industry Team It has been almost four and half years since President Obama signed The…

SEC Passes New Rules for Broker Dealers

By Christopher L. Wallace, CPA, Business Assurance & Advisory Services Partner and Andrew K. Sledd, CPA, CFE, Business Assurance & Advisory Services Partner On July 31, 2013, the Securities and…

PCAOB Broker-Dealer Update

By Andrew K. Sledd, CPA, CFE | Manager In August 2013, the Public Company Accounting Oversight Board (“PCAOB”) released its progress report on its inspections for auditors of broker-dealers for the…

SEC Best Interest Regulation – Reg BI

By Andrew K. Sledd, CPA, CFE, Business Assurance & Advisory Services Partner | Financial Services Industry Team In the wake of the dismantling of the Department of Labor’s (DOL) Fiduciary…

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