sec surprise exam consultants

Surprise Exam

The Securities and Exchange Commission (SEC) continues to expand regulations impacting Registered Investment Advisors (RIA) when an RIA has custody of client assets. FGMK is registered with the Public Company Accounting Oversight Board (PCAOB) and has the expertise to guide you through this ever changing landscape to ensure that your independent surprise custody examination complies with these regulations.

Our extensive custody experience encompasses fee-only registered investment advisors with standing letters of authorization, advisors who serve as trustees for trust clients, advisors who manage pooled investment vehicles, family office and multi-family office advisors with complementary bill-pay services, and everything in between. Our team of experienced professionals designs procedures to ensure the custody audit is efficiently performed and that you remain in compliance with SEC Rules 206(4)-2 and 204-2(b).

FGMK is a leading professional services firm providing assurance, tax and advisory services to privately held businesses, global public companies, entrepreneurs, high-net-worth individuals, and not-for-profit organizations. FGMK is among the largest accounting firms in Chicago and one of the top ranked accounting firms in the United States

Barry H. Jacobs

847.964.5347

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Our team of experienced professionals designs procedures to ensure the custody audit is efficiently performed and that you remain in compliance with SEC Rules 206(4)-2 and 204-2(b).

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