Increased regulation and more stringent compliance are forcing broker-dealers to get a better grasp of their internal controls. With standards and rules changing every day, you need someone on your side who has a deep understanding of what it takes to help you navigate the demands of this fast-moving industry. Citrin Cooperman’s dedicated Broker-Dealer Practice is at the forefront of these changes.
Our practice provides consulting, audit, and tax services to broker-dealers of all sizes. We are veterans in the securities industry and are active members of SIFMA Internal Audit Society, the New York State Society of Certified Public Accountants, the Stock Brokerage Accounting Committee, and the American Institute of Certified Public Accountants. We work with chief executive officers, compliance officers, and both in-house and outsourced financial and operations principals (FINOPs).
We currently provide services to more than 40 broker-dealers, ranging in scope from single-office to global clients, including: