Audit services to help your broker-dealer stay compliant and manage risk

The broker-dealer industry has become more highly regulated than ever over the last several years, and implementing the new rules and regulatory filings can be very confusing. You need an accounting firm with significant industry experience, deep knowledge of regulatory requirements, and a forward-thinking approach.

Kreischer Miller is a PCAOB registered accounting firm. Our team brings deep investment industry experience to the audit process. We regularly interact with our clients on matters affecting their businesses, which minimizes surprises. You will also have direct and immediate access to senior professionals who understand the issues impacting your business.

Audit Services

Kreischer Miller’s audit services for broker-dealers include:

  • Annual audits of financial statements required by Rule 17a-5
  • Issuing exemption reports under SEC Rule 15c3-3
  • Issuing reports on the Applying Agreed-Upon Procedures related to an entity’s SIPC Assessment Reconciliation

Throughout all of these audits, we perform risk assessment procedures and work closely with management to obtain a thorough understanding of internal controls, fulfilling the requirement under PCAOB Attestation Standard No. 2.

Our uniquely structured approach moves all available work to be performed to an interim period, reducing the filing pressures management faces at the end of the year. Our managers and directors are deeply involved in planning and interim work and maintain consistent communication with management year-round, not just at audit time.

Additional Services

For broker-dealers that need assistance preparing for an audit by a third party, our experienced team can keep you on track to meet all of your audit and related filings.

Additional services include:

  • Preparation and compilation of financial statements
  • Calculation of net capital
  • AML Testing

Contact us to learn more about our services and how Kreischer Miller can help your broker-dealer.

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