The Securities and Exchange Commission (SEC) and certain state regulatory agencies require that investment advisors deemed to have custody of client funds undergo an annual surprise examination. We have the expertise and experience to perform such examinations.
KatzAbosch adheres to the annual surprise custody examinations of registered investment advisors. We have significant experience counseling investment advisors on the application process of the custody rule. Our unique specialization in combination with a high level of efficiency, allows us to offer cost-effective solutions to RIAs.