Broker Dealers & Funds

OUR INDUSTRY SPECIALTIES

We advise clients through the ever-changing regulations and complexities that exist in the financial services industry for both broker dealers and investment funds. While these entities have distinct needs, our expertise spans both areas, allowing us to provide comprehensive services to a wide range of financial institutions.

Our Expertise

We specialize in delivering independent, efficient, and effective audits of financial statements to asset management entities. Clients can expect insightful professional advice, a seamless experience, and the confidence of working with a reputable firm with over 100 years of experience as accountants and advisors.

Broker Dealers

Broker dealers play a core role in facilitating securities transactions for clients. Hancock Askew has extensive knowledge and experience to assist broker dealers in navigating PCAOB rules and regulations, which give rise to complex issues and questions. We understand the procedures and corporate governance rules that PCAOB-regulated companies must comply with and, should any new legislation be introduced, we are ready to advise you accordingly.

Asset Management/Investment Funds

Investment funds, including hedge funds, private equity funds, and funds of funds, require specialized financial expertise. Hancock Askew’s asset management practice provides assurance, tax, and advisory services to asset management entities. The advisors we serve have funds ranging from start-up funds to those with $150 million under management.