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FULLY DISCLOSED BROKERAGE AUDITS
The broker/dealer group specializes in auditing the financial statements of broker/dealers to be filed annually in accordance with the requirements of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Our auditors are trained to conduct their examinations with an eye toward helping the client while maintaining independence related to audit procedures, regulatory requirements, and financial statement presentation.
The depth of our experience allows us to provide accounting and tax services to both emerging and mature entities alike. Whether it is meeting annual reporting requirements, interpreting net capital rules, or providing accounting and tax guidance, we have the ability to provide services which meet our clients’ needs and exceed their expectations.
Our Broker/Dealer Services include:
- Entity Selection & Corporate Restructuring
- Tax Planning & Consulting
- Net Capital Rules Compliance
- Tax Preparation & Compliance
- Due Diligence
- Focus Reporting
- Bookkeeping
- Mergers & Acquisitions
Important information regarding the PCAOB
The Securities and Exchange Commission (SEC) has ordered that auditors of non-public broker-dealers be registered with the Public Company Accounting Oversight Board (PCAOB). The order is effective for broker-dealer fiscal years ending after December 31, 2008. Cohen Fund Audit Services has been registered with the PCAOB since its inception. Our firm is subject to inspection by the PCAOB to assess our compliance with the Sarbanes-Oxley Act, the rules of the Board and the SEC and professional standards. As a result of our recent inspection, the PCAOB has recently issued a report on Cohen Fund Audit Services, which contains no deficiencies or quality control defects. This is the best report that can be issued. For more information, please visit http://pcaobus.org/Inspections/Reports/Documents/2008_Cohen_Fund.pdf
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