Financial Services Capabilities

Industry specialists at your service

With an in-depth knowledge of the industry and its products and operating methods, our professionals are uniquely qualified to advise clients on the latest regulatory changes and the rules that affect them. Many of our financial services specialists have real world industry experience, enabling us to address the day-to-day business situations organizations may encounter.

Insights / Capabilities

Our knowledge includes:

  • Investment company accounting, tax and regulatory rules
  • Complex financial instruments, transactions, formation and structuring
  • Portfolio valuation issues
  • Fund of funds manager due diligence
  • Mutual Fund and Hedge fund operations control due diligence
  • Performance attestation
  • ASC 820 Fair Value Implementation 
  • Assistance with drafting valuation policies and procedures
  • ASC 740 implementation
  • Risk management
  • Internal audit
  • Internal controls
  • Technology needs, process redesign and best practices
  • Anti-money laundering requirements
  • SEC and CFTC net capital rules
  • CFTC segregation and secured rules
  • SEC customer protection rules
  • Federal Reserve regulations T, U and X
  • DSRO margin rules
  • FINRA and NFA rules
  • Securities Lending
  • Fund Mergers
  • Domestic and International withholding issues
  • Domestic and International tax reporting issues
  • Investment performance attestation services
  • GIPS verification and performance examination

As one of the largest organizations in the country serving the financial services community, we have the resources, knowledge and experience to serve traditional funds, hedge funds and broker-dealers and futures commission merchants.

How can we help you?

To discuss how our team can help your business, contact us by phone 800.274.3978 or

Investment Industry Insights

The quarterly newsletter follows developments in accounting and finance and places them in the context of current events and changes in economic and marketplace trends.


Events / Webcasts


RSM’s 9th Annual Investment Industry Summit

  • September 19, 2017


John Hague
National Financial Services Practice Leader