Issue-oriented, proactive, and ongoing monitoring services.

The Capital Markets team at BRG specializes in advising clients and their counsel as they navigate the intersection of regulation and finance. The group serves the needs of hedge funds, hedge funds-of-funds, private equity funds, alternative investment funds, investment advisers, broker-dealers, insurance companies, and banks by bringing a seasoned team of professionals that delivers objective analysis, comprehensive advice, crisis management, and strategic planning and response in the areas of operational risk, compliance, accounting, and finance.

Who We Are

BRG experts understand that clients have to navigate proposed, pending, and enacted laws, rules, and regulations and increased oversight. To effectively address this complex web, the Capital Markets team has assembled former industry specialists including securities firm executives (CFOs, CCOs, COOs), risk management specialists, traders, government regulators (SEC, DOJ, FTC, OCC, PCAOB), fund administrators, Big Four partners, FBI agents, and other investigative experts. Our practice qualifications include Ph.D. economists, technologists, CFAs, and CPAs.

What We Do

BRG’s highly specialized team of accountants and analysts address regulatory and accounting issues of:

broker-dealers
investment advisors
hedge funds
insurance companies
banks
futures commission merchants

Our areas of expertise include:

COSO Internal Control – Integrated Framework
US Generally Accepted Accounting Principles (GAAP) and International Financial Reporting Standards (IFRS)
Fair-value techniques and private equity standards
US insurance Statutory Accounting Principles
Reinsurance treaties
US Securities Exchange Act, Investment Advisers Act, and Commodity Exchange Act regulations
Financial Industry Regulatory Authority (FINRA) and National Futures Association (NFA) regulations
Audits and audit work-paper analyses
Investigations of or on behalf of self-regulatory organizations

Our clients are among the largest financial services firms and law firms in the world. Our managing directors have testified in numerous high-visibility litigation matters, on behalf of regulators and defendants, both within and outside of the US. On behalf of individual corporate defendants, we specialize in the analysis of internal control supervisory procedures and have testified in both civil and criminal trials. On behalf of investment advisers, broker-dealers, futures commission merchants, and self-regulatory organizations, we have conducted significant investigations into alleged irregularities.

Our engagements frequently require combining multiple disciplines in the areas of accounting, auditing, regulatory framework, internal control, and valuation. In addition, we have built out broader engagement teams, when needed, to include BRG’s economists and industry specialists.