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Financial Services

Accounting standards. Industry regulations. Ever-evolving tax rules. New legislation.

With more than 50 years of experience serving the financial services community in key financial hubs, we help organizations navigate complex reporting, governance and regulatory issues to achieve their business objectives. We serve alternative investment companies, investment advisors, investment partnerships/hedge funds, private equity funds, broker-dealers and futures commission merchants.

Insights / Capabilities


Featured Insight

RSM Hedge Fund Insights 2016

INSIGHT ARTICLE

RSM Hedge Fund Insights 2016

RSM’s new report offers insights on nine key issues confronting hedge funds, including cybersecurity, investor relations, taxes and more.

  • November 14, 2016
5 trends to watch in hedge fund investor relations

VIDEO

5 trends to watch in hedge fund investor relations

There is a growing demand for transparency that is having a fundamental impact on the client-service role for hedge fund managers.

  • John Hague
  • |
  • August 04, 2016

Popular Insights

FINANCIAL REPORTING INSIGHTS

FINRA and SIPC streamline broker-dealer reporting process

Broker dealers now need to only file their annual reports for SIPC and FINRA once using FINRA’s existing reporting portal.

  • August 08, 2017

INSIGHT ARTICLE

RSM's AML Survey identifies 7 AML trends in banks

This infographic breaks down the key findings from the RSM AML Survey of banks, including insights into budgets, staffing and operations.

  • August 03, 2017

INSIGHT ARTICLE

GP Operations Compendium: Making the complex simple

Improving the many functions that reside in the private equity back office. Learn how to make the complex simple.

  • July 17, 2017

INSIGHT ARTICLE

Enhance performance with incentive compensation programs

Learn to identify potential ICP control gaps and verify your control environment is well-designed and working as intended.

  • Dan Shumovich
  • |
  • June 15, 2017

INSIGHT ARTICLE

2017 economic outlook and the prospect for reform

RSM’s Chief Economist provides bank executives economic insights at the annual Western Independent Bankers Conference

  • June 15, 2017

VIDEO

2017 Trends in Business Development Companies

Join us at the Nasdaq MarketSite to listen to live panel discussions about the latest issues affecting business development companies.

  • May 15, 2017
New survey shows how funds are preparing for CRS and FATCA

WHITE PAPER

New survey shows how funds are preparing for CRS and FATCA

FATCA and CRS compliance challenges are similar but not the same. Read the RSM and HFMWeek survey report to learn more.

  • Aureon Herron-Hinds, Josh Johnson
  • |
  • April 26, 2017
Tax Court holds extension of prepaid forward contract not taxable

TAX ALERT

Tax Court holds extension of prepaid forward contract not taxable

Taxpayer recognized no gain when its obligation to deliver shares was delayed; application of decision to other contracts may be limited.

  • Ramon Camacho, Don Susswein, Stefan Gottschalk
  • |
  • April 25, 2017

INSIGHT ARTICLE

Liquidity and funding risk

A summary of regulatory guidance from FINRA and the SEC and the importance of continually focusing on liquidity risk management procedures.

  • John Hague
  • |
  • April 19, 2017

INSIGHT ARTICLE

Accounting changes affecting private equity funds

Learn about key accounting changes and related valuation, back-office and SBIC issues private equity funds should consider in 2017.

  • Matt Rotta, Michael Bahnick
  • |
  • April 12, 2017

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.

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Events / Webcasts

IN-PERSON EVENT

RSM’s 9th Annual Investment Industry Summit

  • September 19, 2017

Contact

Jim Greisch
National Financial Services Practice Leader


402.344.6104