Broker/ Dealers in Securities

The constantly changing regulatory environment has created unique challenges to broker/dealers in securities in order to remain compliant with the various governing regulatory organizations that govern them. Our dedicated financial services professionals have the experience to help Broker-Dealers identify and address a wide range of compliance and operational issues with the environment of increased scrutiny and accountability from legislators and investors. We provide specialized services that address industry-specific issues, opportunities and risks.

Assurance Services

Financial Audits

• Entity Selection and Corporate Restructuring
• Due Diligence
• Representation before Regulatory Bodies

Accounting Services

• Focus Reporting
• Bookkeeping
• Back-Office

Tax Services

• Tax Preparation and Compliance
• Tax Planning and Consulting

Contact Pamela Radoszycki at pr@acsbco.com