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.

Assurance Services

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

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

Broker Dealers

  • Introducing/Non-clearing Retail Brokers
  • Investment Banking

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 Advisors

  • SEC Registered
  • State Registered
  • Exempt Reporting Advisors

“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.

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Meet Our Professionals

John Murray

Partner

Andrew Sledd

Partner

Chris Wallace

Partner

Courtney Corallo

Business Assurance & Advisory Services Senior Manager

Ethan Hitchcock

Valuation and Forensic Services Senior Manager

Paul Staples

Tax Senior Manager

Mary Margaret Sword

Business Assurance & Advisory Services Manager

Contact Us