Regulated Investment Companies Services


  • Compliant reporting and other regulatory reporting (in accordance with auditing standards generally accepted in the United States or International accounting standards).
  • Audit of financial statements including review of annual filings with the SEC
  • Audit the quarterly holdings of investments, in accordance with Rules 17f-1 and 17f-2
  • Performance attestations
  • Review of semi-annual reporting to shareholders
  • Review post-effective amendments to registration statements and proxy filings
  • Internal control reviews


  • Compliance with Subchapter M of the Internal Revenue Code
  • Preparation of excise tax returns
  • Preparation of federal and state tax returns (including K-1 reporting)
  • Preparation of federal and state tax returns for the general partner and investment advisor
  • Review of required dividend distribution calculations
  • Prepare partner allocations
  • Provide proactive ongoing advice on tax issues specific to investment companies
  • Assistance with IRS and State tax audits

Contact Us

For more information or to discuss your business needs, contact Withum’s Regulated Investment Companies Services Team.


Frank R. Boutillette

Emeritus Partner

East Brunswick, NJ

Contact Us