Entrepreneurial Spirit. Independent expertise.

Investment Management

The Investment industry operates in a complex, heavily regulated and rapidly evolving environment. GBQ’s financial institutions 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:

  • Tax preparation
  • SOC 1
  • Surprise Examinations
  • Audits of broker-dealers, investment funds, fund managers
  • Complex financial instruments, transactions, formation and structuring
  • Fund structure
  • Fund mergers
  • SEC and CFTC net capital rules
  • SEC customer protection rules
  • Securities lending
  • 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
  • Domestic and International tax reporting issues
  • Anti-money laundering requirements