The nature of regulated investments make these organizations particularly sensitive to critical reporting requirements and deadlines to investors and regulators alike. The Financial Services Group at WithumSmith+Brown understands the challenges that you face. We dedicate expert resources that provide proactive, timely support to put our clients in a position of strength.
- 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