Suprise Custody Exams for RIAs
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SURPRISE EXAMINATIONS FOR REGISTERED INVESTMENT ADVISERS
The Securities & Exchange Commission (SEC) recently approved amendments to Rule 206(4)-2 (the "Custody Rule") under the Investment Advisors Act of 1940. Effective March 12, 2010, certain investment advisers registered with the SEC and deemed to have custody of client assets, are required to engage a CPA firm registered with and subject to regular inspection by the PCAOB. (View complete ruling)

Cohen Fund Audit Services has performed surprise examinations for investment advisers since our inception, and is considered a leader in the industry. When you combine our in-depth experience, our deep technical knowledge, and our cost-effective approach, it’s clear to see we are well-equipped to perform your organization's surprise custody exam.

Following are a few reasons to let Cohen Fund Audit Services ease your compliance burden:

  • Registered with the PCAOB since our inception & subject to regular inspection
  • 100% of our clients are companies in the investment industry
  • Access to more than 200 audit and support personnel via our affiliation with Cohen & Company
  • Highly trained staff

If you're considering your options, keep in mind that the cost of a surprise exam may not be as expensive as you think.. To discuss your specific situation or to learn how we can provide a cost-effective proposal to meet your needs, contact one of our dedicated professionals today at 440.835.8500 or submit an inquiry using the form on the left.

Important information regarding the PCAOB
PCAOB
 Cohen Fund Audit Services has been registered with the Public Company Accounting Oversight Board (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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