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 will partner with you to ensure your business is staying ahead of regulatory changes and meeting compliance requirements. We are thoroughly familiar with both industry practice and the regulatory requirements of the SEC, FINRA, and SIPC.
We are and have been since the inception of the Public Company Accounting Oversight Board (PCAOB), a registered firm subject to regular inspection.
In working with Keiter, you will receive the compliance reporting and guidance you need in order to provide peace of mind to your customers, clients and investors.