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Blog

Two professionals discussing a document in an office, related to the SEC custody rule audit requirement.

3 Top Facts About the SEC Custody Rule Audit Requirement

by Assurance Dimensions

A male accountant explaining the custody rule exemption to a male and woman coworker seated at desk

What is the Custody Rule Audit Exemption?

The Securities and Exchange Commission (SEC) requires regular surprise audits…

by Assurance Dimensions

A team of broker dealers sitting at a table discussing an RIA audit with laptops and smartphones

What Should You Expect During an RIA Audit?

by Assurance Dimensions

Two young registered investment advisors discussing new information related to an upcoming custody rule audit

Custody Rule Audit: Insights in Compliance

by Assurance Dimensions

A man highlighting papers in a three ring binder that are for a custody audit

SEC Guidance: What Is A Custody Audit?

by Assurance Dimensions

Two diverse businessmen discussing details about the Custody Rule & annual RIA Surprise Audit

6 Details About the Custody Rule & Your RIA Surprise Audit

by Assurance Dimensions

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benefit plan audits (18) broker dealer audits (11) compilation and review engagements (4) construction accounting (7) franchise accounting (8) nonprofit audits (11) pcaob audits (24) private company audit (1) private company audits (18) remote auditor (4) single audits (10) surprise audits (6)

“Assurance Dimensions” an independent member of the Crete Professionals Alliance, is the brand name under which Assurance Dimensions, LLC including its subsidiary McNamara and Associates, LLC (referred together as “AD LLC”) and AD Advisors, LLC (“AD Advisors”), provide professional services. AD LLC and AD Advisors practice as an alternative practice structure in accordance with the AICPA Code of Professional Conduct and applicable laws, regulations, and professional standards. AD LLC is a licensed independent CPA firm that provides attest services to its clients, and AD Advisors provide tax and business consulting services to their clients. AD Advisors, its subsidiary entities, and Crete Professionals Alliance are not licensed CPA firms. The entities falling under the Assurance Dimensions brand are independently owned and are not liable for the services provided by any other entity providing the services under the Assurance Dimensions brand. Our use of the terms “our firm” and “we” and “us” and terms of similar import, denote the alternative practice structure conducted by AD LLC and AD Advisors.

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