Financial Services and Investment
WithumSmith+Brown’s Financial Services Industry Group serves clients reflecting the diversity of the industry, including hedge fund managers, private equity firms, mortgage bankers, broker-dealers, and regulated investment companies. We understand the challenges of operating in a complicated, highly regulated environment, and how to successfully comply with SEC and other rules which often require the expertise of independent auditors and consultants.
Public Company Oversight Board Results of Broker Dealer Audits
In an article published by the Wall Street Journal, at the end of August 2014, the Public Company Accounting Oversight Board (“PCAOB”) inspected ninety broker-dealer audits […]Read More
The information contained herein is not necessarily all inclusive, does not constitute legal or any other advice, and should not be relied upon without first consulting with appropriate qualified professionals.