At Haynie & Company, we can connect you with a certified public accountant who can perform the required accounting audit services you need, including annual filing assistance, preparation and review of public filings prior to auditor review, and much more.
If an investment advisor has custody of client assets under SEC or state securities rules, they may need to undergo a surprise custody examination by a firm registered with and inspected by the PCAOB. To comply with custody rules, careful consideration of each advisor’s unique facts and circumstances is necessary, and it should be done with the guidance of a compliance specialist and/or attorney. The surprise exam covers several specific aspects of custody and recordkeeping rules. With our extensive experience working with investment advisors of separately managed accounts and funds, we offer efficient and cost-effective surprise exams that fulfill our clients’ regulatory requirements.
All custody examinations at Haynie & Company are conducted according to the SEC and AICPA’s requirements. If you believe your firm may be subject to this requirement and are looking for an auditor, please contact us today.
