GBQ

Entrepreneurial Spirit. Independent expertise.

Financial Services

Financial Services operates in a complex, heavily regulated and rapidly evolving environment. GBQ’s team is experienced in providing assurance and tax services for mutual funds, ETFs, CITs and Master Limited Partnership (MLP) funds, alternative investment funds, investment advisors and broker/dealers.

Our professionals work specifically with registered and unregistered investment companies, investments advisors and securities broker/dealers to provide the following services:

  • Audits of broker-dealers, investment funds, fund managers
  • SOC Reports
  • Surprise Examinations
  • Complex financial instruments, transactions, formation and structuring
  • Fund structure
  • Fund mergers
  • SEC and CFTC net capital rules
  • SEC customer protection rules
  • Portfolio valuation issues
  • Fund of funds manager due diligence
  • Mutual fund and hedge fund operations control due diligence
  • Risk management
  • Internal audit
  • Internal controls
  • Technology process redesign and best practices
  • Tax preparation
  • Domestic and International tax reporting issues
  • Anti-money laundering and other regulatory compliance

 

Contact
  • Paul Anderson
  • Senior Director, Assurance & Business Advisory Services
  • (614) 947-5203
  • panderson@gbq.com
Contact
  • Jeff Harden
  • Senior Manager, Assurance & Business Advisory Services
  • (614) 947-5299
  • jharden@gbq.com