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SEC Compliance
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Broker Dealers
The constantly changing regulatory environment has created unique challenges to broker-dealers in their desire to remain compliant with the various organizations that govern them. Marcum & Kliegman LLP has responded to this demand by forming the Broker-Dealers in Securities Group (M&K-BDS). Our dedicated financial services professionals have the experience to help Broker-Dealers identify and address a wide range of compliance and operational issues within the environment of increased scrutiny and accountability from legislators and investors. We provide specialized services that address industry-specific issues, opportunities, and risks. These include:
Assurance Services
Financial Audits
- Entity Selection and Corporate Restructuring
- Due Diligence
- Mergers & Acquisitions (M&A)
- Representation Before Regulatory Bodies
Accounting Services
- Focus Reporting
- Bookkeeping
- Back-Office
Tax Services
- Tax Preparation & Compliance
- Tax Planning & Consulting
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Services