Broker-Dealers and Futures Commission Merchants

Broker-Dealers and Futures Commission Merchants are constantly challenged to remain in compliance with ever-changing rules and regulations. Concurrently, they are tasked with focusing on providing quality service to their customers in order to maximize the potential of their offerings. FGMK’s professionals specializing in these industries possess the requisite industry experience and regulatory experience to help navigate these matters.

FGMK is registered with the Public Company Accounting Oversight Board (PCAOB) and our Financial Services Practice helps organizations with complex reporting, governance and regulatory issues. Our professionals have held significant industry and regulatory positions and have direct experience with operational issues and challenges facing financial services organizations.

Our significant experience in working with regulated financial services companies helps us advise companies on the requirements of the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and US Commodity Futures Trading Commission (CFTC).

Our industry-specific services include:

  • Audit and assurance services
 
  • SEC and CFTC net capital and customer protection rules consulting
  • Front, middle and back office operational risk and controls consulting
  • Tax planning, structuring and compliance
 
  • Risk management and regulatory compliance consulting
 

Michael D. Obrochta

847.940.3239

shape shape shape shape shape

FGMK’s Financial Services Practice helps organizations with complex reporting, governance, and regulatory issues.

shape shape shape shape shape
Background

Stay current with us

Sign up for our newsletter to receive the latest in thought leadership, webinars, news, and resources.

background