Financial Services

GreerWalker’s team is experienced in the complex challenges and risks in the the financial services industry, including new financial instruments, technology, globalization, and tightening regulations. We service a number of different types of clients in the financial services industry, including:

Our professionals are involved with professional organizations in the industry and stay up to date with current issues affecting the financial services organizations.

In addition to the traditional assurance and tax compliance services, we provide a wide range of services that support financial service companies and their owners throughout the business lifecycle.

Business Consulting

• Choice and structure of entity
• Review of operating and buy-sell agreements
• Admitting new partners or shareholders
• Redemption or buy-out of partners and shareholders
• Employee incentive compensation

Succession Planning / Exit Strategy

• Review of purchase and sale agreements and negotiation of terms
• Assistance with due diligence
• Estate tax planning and administration
• Valuation of company

Broker/Dealer Compliance

• Annual audit under PCAOB standards
• Review of Exemption Reports
• Agreed-Upon Procedures for SIPC compliance
• Anti-Money Laundering Policy Compliance
• Annual Surprise Custody Examinations