Managing Regulatory Filings and Required Statements
All businesses are responsible for maintaining accurate reports and books, in addition to submitting information to controlling agencies. With broker-dealer firms, the regulations on these companies are even more complex. At Goldcrest Consulting Services, LLC, we are FinOps and CPAs who take care of all of the financial regulatory filings and required financial statements.
We handle financial reporting responsibilities that agencies like FINRA and the SEC require of your business. Our team takes care of:
Your broker-dealer firm doesn’t have to worry about what information to submit and by what deadline. We oversee, or can personally handle the maintenance of your company’s accounting records.
Goldcrest Consulting Services, LLC understands the financials that will satisfy FINRA and SEC requirements. We work with you to prepare accrual-basis financial statements from your firm's books and records. We’re also capable of acting as the liaison between your broker-dealer and the designated audit firm.
Regulatory Filings and Financial Statements for Broker-Dealers
With new regulations being placed on the accounting, reporting and auditing processes for broker-dealers, it’s never been more essential to seek assistance from a FinOp and CPA. With our firm’s experience acting as a FinOP for broker- dealers, as well as our decades of accounting experience, we know how to handle your reporting requirements.
Contact our office today to learn more about our FinOp services.