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Financial Institutions

The global financial crisis introduced changes targeted at protecting investors and increasing accountability that place the entire industry under greater scrutiny from regulators and investors.

Meet the Partners

Significant Expertise, Diverse Services

PKF O’Connor Davies provides the precise services financial institutions need to help maintain compliance controls while keeping their focus on business growth. Our financial industry specialists possess first-hand knowledge across the entire financial services spectrum and significant experience at major CPA firms and Wall Street institutions. As a result, they comprehend and share with clients their in-depth understanding of current and evolving complexities in banking, capital markets, trading, investment management and investment banking. Their approach to understanding client operations and objectives is a comprehensive one and serves as the foundation for assisting banks, broker dealers and hedge funds in addressing the many challenges they face today.

An intense grasp of the evolving complexities in banking, capital markets, trading, investment management and investment banking.
PKF O’Connor Davies supports clients in managing issues across the full financial services spectrum. Our integrated teams provide an array of comprehensive tax, audit and business advisory services, including:
  • Internal and external audits
  • Regulatory compliance
  • Tax consulting and compliance
  • Attest services, including audit and agreed upon procedures
  • Performance reporting and risk metrics
  • Information technology
  • Risk assessment
  • Valuation services
  • Preparation of annual statements
  • Performance examination reports
  • Dodd-Frank
  • Consumer Financial Protection Bureau examinations

Strategic Expertise

With particular expertise in key issues within the banking, broker dealer and hedge fund sectors, we provide the following specialized services:

Services for Banks

  • Operational control reviews and examinations
  • Know your customer and anti-money laundering
  • Regulatory compliance
  • Risk management
  • Governance controls
  • Technological systems
  • Growth strategy advisory

Services for Broker Dealer

  • Regulatory reporting and examinations
  • NASD arbitration
  • Tax returns for businesses and principals
  • Financial statement audits
  • FINRA, SEC, CFTC, NFA regulatory advisory
  • Operational control evaluations

Services for Hedge Funds

  • Business structuring
  • Management fee and incentive structures
  • Fund reporting requirements
  • Technology consulting
  • Fund and investor audits
  • Fund tax services
  • Investor due diligence advisory
  • Fund administration
  • Dodd-Frank and Sarbanes-Oxley regulatory compliance