Broker-Dealers

building
higher value

Helping you overcome the complexities of your industry

Between economic uncertainty, volatile financial markets and regulatory overhaul, it is imperative for broker-dealers to identify professional service providers who will prepare them to respond and adapt to a challenging environment.

As a Public Company Accounting Oversight Board (PCAOB) registered firm, DHG meets the SEC, Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements to serve as your annual external auditor. We also provide tax, regulatory and advisory services relating to internal controls, operations and compliance to help you meet your business objectives.

DHG's professionals remain ahead of the constantly changing regulatory climate to help you ensure compliance with your brokerage operations and financial reporting requirements. Given the stringent independence requirements in place, our advisory professionals can also consult with you for services not allowed to be performed by your external auditor. We provide assurance, tax and advisory services to broker-dealers of all types, including retail brokers and investment advisors.

Advisory

Business, Finance and Process Transformation
DHG provides services that help companies successfully create and drive change. Our comprehensive approach to project definition, resourcing, communication, and support requires that we engage the right resources to accomplish strategic initiatives.

Internal Audit and Compliance
DHG's Internal Audit and Compliance teams, dedicated to assisting clients better manage their risks, are focused on assessing, designing, and developing risk management programs and internal control processes. Our team offers risk-focused insight, facilitation of secure internal controls, assistance in regulatory compliance and increased internal performance and effectiveness.

Technology Services
DHG provides technology services designed to assist a company's team in advancing strategic initiatives. We assist clients in assessing IT risks, systems and operations, and in addressing regulation and compliance requirements.

Regulatory Services and Risk Management
DHG helps companies manage and implement change driven by new regulations and strategic risk management objectives. This includes addressing daily 15c3-3 computations. Our compliance services help support appropriate responses to matters of non-compliance and integration into existing risk management frameworks.

Assurance

External Audit
Our assurance teams are dedicated to your industry and are adept at transitioning clients from other firms then providing hands-on service from experienced team members.

SOC 1 and 2 Services & Financial Intermediary Controls and Compliance Assessments (FICCA)
We provide Service Organization Control (SOC 1 and 2) reports as well as Financial Intermediary Controls and Compliance Assessments (FICCA).

Tax

DHG has the experience you need to minimize tax exposure, avoid non-compliance penalties and outsource the tax function. We streamline tax compliance with the same cost-effective, resourceful mindset we bring to every service by integrating tax planning with your total financial plan.

Our tax services reflect a commitment to building a long-term relationship and providing strategic support for your company's growth.

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Industry Issues



Services In Focus
Alerts, News
& Publications


Georgia Enacts Income Tax Legislation

On March 2, 2018, Governor Deal signed “House Bill 918” (the bill) into law,...
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DHG Partner Liz Gantnier to Serve as AICPA Quarterly...

Charlotte, N.C., March 22, 2018 – Dixon Hughes Goodman, a...
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The Tax Cuts and Jobs Act Affects Meals and Entertai...

Under new law (P.L. 115-97), the deductibility of business-related meals and...
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Events



Blog

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WCSC-TV’s Live 5
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Warranties seem
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