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 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.
“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.
- Introducing/Non-clearing Retail Brokers
- Investment Banking
- Fund of Funds
- Hedge Funds
- Private Equity Funds
- Master-Feeder Funds
- Offshore International Funds
- Real Estate Funds
- Venture Capital Funds
Registered Investment Advisors
- SEC Registered
- State Registered
- Exempt Reporting Advisors
- 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
- 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
Consulting and Advisory Services
- Agreed Upon Procedures on historical performance results
- 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