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 Broker-Dealers |
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Charting a steady course within the deeply regulated broker/dealer field is contingent upon the advice, experience and integrity of industry specialists. |
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Accounting and Business Advisory Services
• Audited financial statements
• Internal controls systems review
• Start-up assistance
• Transaction record keeping
• Tax planning
• Partnership, corporate and individual tax returns
• Merger and acquisition reviews
• Strategic planning
• Estate and retirement planning
• Succession planning
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Broker-dealers operate in a specialized industry and function in a highly regulated environment. MWE’s Financial Services Practice Group provides clients within the broker-dealer industry services unique to its community, including:
Annual audits of financial statements required for filing with regulatory authorities (e.g., SEC, NYSE, NASD), including review of the internal control system and issuing of internal control letter (material inadequacies letter as part of the audit).
Tax planning and required tax filings for the entity and its principals.
Ongoing client assistance with securities and financial industry related matters (e.g., mergers and acquisitions, sale of business segment, etc.).
Assistance with broker/dealer start-ups, including SEC net capital and customer reserve requirements, operational cost benefit analysis (e.g., clearing vs. non-clearing), and other related industry matters.
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