RIA Surprise Examinations

RIA Surprise Examinations

In the wake of several high-profile cases of fraud involving investment advisors and broker-dealers, the Securities and Exchange Commission (SEC) recently adopted final amendments to Rule 206(4)-2 (“the Custody Rule”) under the Investment Advisors Act of 1940 in an attempt to provide additional safeguards for client funds or securities in the custody of a registered investment advisor.

Industry Specific Knowledge

What is the value of a CPA who both understands your industry and is aware of current trends and issues affecting it?  For MFA’s investment management clients, it has proven invaluable. Our combination of sophisticated financial, technical and industry expertise has made us the firm of choice for registered investment advisors seeking an efficient, cost-effective solution to meeting their SEC examination requirements, whether it be an annual surprise examination, annual internal control report, or both.

Solid Audit and Assurance Experience

MFA’s solid audit and assurance track record, combined with our extensive Sarbanes-Oxley and internal controls consulting expertise, demonstrates the strength and range of our compliance examination services. The exceptional knowledge base and vast experience amassed over the years has resulted in our ability to consistently offer a responsive, value-driven, hands-on approach. In working with MFA, clients are secure in the knowledge that they are working with truly seasoned professionals with a track record for results.

PCAOB Registered

MFA is registered with the Public Company Accounting Oversight Board ("PCAOB"). The PCAOB is a private sector, nonprofit corporation, created by the Sarbanes-Oxley Act 2002, to oversee the auditors of public companies and protect the interests of investors.

For more information on the PCAOB, visit www.pcaob.org.



Robert Busch Audit Partner (978) 557-5327


Registered Investment Advisory Services Brochure

To learn more, download our Registered Investment Advisor Services brochure.

Contact Us