Broker Dealer Auditor: Accounting and Tax Services

As a broker-dealer auditor in today’s evolving industry, navigating the complex regulatory landscape is more challenging than ever. With new rules and regulations constantly being issued to combat illegal activities and regulate rogue brokers, broker-dealer institutions of all sizes are facing unprecedented levels of regulation. This means that brokers and dealers need accurate guidance to navigate this environment effectively.

Akram, a firm registered with the PCAOB , offers specialized support tailored to the needs of broker-dealers. Our Financial Services Team consists of experts dedicated to keeping clients ahead of the curve on audit, tax, and compliance issues. With a focus on broker-dealers, Akram team provides a range of services, including annual audits, tax planning, regulatory filings assistance, and more.

What Akram offers

• Conduct annual audits per Rule 17a-5, including review of exemption and SIPC agreed upon procedure reports.

• Monthly financial statements and net capital calculations, as permitted.

• Provide initial capitalization and support for tax and organizational structures, if allowed.

• Assist with regulatory filings and ensure compliance.

• Proactive tax planning and assist with compliance procedures.

• Provide guidance during FINRA and SEC examinations, as permitted.

• Internal control consulting and remediation services, if allowed.

• Consult on financial reporting and operational issues, as permitted.

Our expertise covers the spectrum from everything from start-ups or small mergers & acquisition to large clearing firms. Our expertise puts us in the driver's seat, ready to jump in and tackle any issues our clients face. We believe in staying on top of all the latest buzz in the heavily regulated world, making sure our clients are shielded from any regulatory storms and compliance. Read more about The Role of Various Entities in a Broker Dealer Audit

Our Clients Include

• Firms providing self-clearing services or operating under full disclosure agreements

• Organizations registered as both broker-dealers and investment advisors

• Broker-dealers catering to institutional and retail markets

• Private placement agents and investment bankers

• Retailers and market makers in the over-the-counter (OTC) sector

Akram likes close relationships with clients and our team is just a quick phone call away, ready to get in and lend a hand whenever you need it. Whether you're a tiny startup or a big fish our clients trust us to deliver spot-on services tailored to their unique situations.

DOWNLOAD PDFs

• Tax Planning for the New Asset Class (PDF)
• Alternative Investments Audit & Tax Services (PDF)

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