Broker-Dealers
Managing Regulatory Complexity
Are you devoting extensive resources to the challenges of operating in a complicated, highly regulated environment? Understanding and successfully complying with SEC and other rules often requires the nimble expertise of independent auditors and consultants.
We can help you. From generating timely and cost-effective audit reports and helping to reduce taxation to consulting on regulatory compliance issues, our industry-focused teams offer key insights and in-depth services. We provide auditing assurance and tax services, as well as management consulting, to all varieties of broker-dealers, including self-clearing and fully disclosed brokerage firms operating as:
- Institutional broker-dealers
- Retail broker-dealers
- Internet brokerages
- Investment bankers
- Private placement agents
- Over-the-counter market makers and retailers
Contact us today to find out how we can help you manage regulatory complexity.
Financial Services Contacts
For All Regions
Scott Urquhart
206-302-6355
Pacific Northwest
Scott Urquhart
206-302-6355
Northern California
Tullus Miller
415-677-8279
Southern California
Kaveh Varjavand
310-295-3801
Southwest
Travis Smith
480-366-8341
Events
MA Now Newsletter
In Volume 5 of MA Now: Financial Services Group, our professionals discuss debt capital markets, a new SEC custody rule, and more.
Purchase 2009 Moss Adams Compensation and Staffing Study of Advisory Firms