Dave Banerjee CPA specializes in audits and accounting for securities brokerage firms such as; annual certified BD audit, branch office audit, AML audit, surprise custody audit, internal controls, engagement quality review and mock audits. Dave also has expertise handling non-resident tax returns for expatriates and non resident Indians. Dave speaks English and Hindi.
RND Resources Inc is a regulatory compliance consulting firm under Dave Banerjee’s leadership. RND handles compliance needs for broker-dealers, investment advisory firms, fund managers, banks, and various other securities industry firms.
Broker-Dealer Accounting / Fund Accounting includes; accounting, recordkeeping, financial statements, payroll services, trading & commission statements
Regulatory compliance consulting includes; new firm formation, procedures & policies, advertising & marketing review, solicitor agreements, code of ethics, firm registration
Public company audits include; certified annual audits of broker-dealer firms as required by FINRA using PCAOB standards. Dave Banerjee is a PCAOB member and handles public company audits, 10q, 10k, EQR, and audit reviews.
Non-resident tax specialist services include; non-resident tax returns for India Diaspora and other foreign nationals, FBAR reporting, tax planning, delinquent returns. Expatriate tax expertise in real estate, bank accounts, work income, securities investments. Visit: http://www.davebanerjee.com/expatriate.php for more information.
Registered principal licensing allows our firm to register with regulatory agencies as the required FINOP or CCO and oversee compliance for the firm. We carry principal level; series 27 financial and operations principal, series 24 general securities principal, series 4 registered options principal, series 53 municipal securities principal