Financial Services operates in a complex, heavily regulated and rapidly evolving environment. It’s a lot to manage and we understand that tensions can run high, but they don’t have to when you have a reliable partner.

GBQ’s team is steeped in experience 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 team works specifically with registered and unregistered investment companies, investments advisors and securities broker/dealers to provide the following assistance:


  • 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