Contact with us
+91 9971102002
Non-Public Audits
Being proficient in navigating the demanding regulations of US-based companies, we bring extensive experience in US GAAP compliance, supporting clients with SEC and FINRA regulations through in-depth knowledge of regulatory requirements.
Being a PCAOB registered firm, we offer proactive filing strategies/requirements and flexible audit scheduling, combining industry-specific insight with a focused audit approach/methodology.
Our commitment to efficiency and professionalism, coupled with continual staff training, ensures outstanding client service throughout.
We deliver a comprehensive set of services customized for every company. Some of the services are listed below
Broker-Dealer Audits
- Audit of the financial statements in accordance with PCAOB standards
- Internal control review procedures
- Agreed Upon Procedures (SIPC) under Rule 17a-5(e)(4)
- Net Capital Rules Compliance under Rule 15c3-1
- Exemption Report under Rule 15c3-3
- Exemption of Footnote 74 of SEC Release No. 34-70073
Registered Investment Advisor (RIA) audits
Guidwell ensures RIA’s compliance with regulatory requirements and financial accuracy
- Ensure adherence to regulatory requirements of (SEC) or state regulatory agencies.
- Evaluate the accuracy and completeness of financial statements.
- Identify and address weaknesses or deficiencies in internal control processes.
- Review and assess the efficiency of operational processes, including client onboarding, portfolio management, and reporting.
Regulation Crowdfunding Services
Regulation Crowdfunding enables qualifying companies to raise capital by offering and selling securities through crowdfunding platforms. This allows issuers to raise up to $5 million, following specific compliance requirements based on the funds raised:
- Capital Raising Compliance:
- $124k to $1.23 million: Requires a review report by an independent CPA/firm.
- $1.23 million to $5 million: Requires an audit report by an independent CPA/firm in accordance with GAAP.
- Crowdfunding Platform Requirements:
- Issuers must conduct their offerings and investor transactions through a registered crowdfunding portal or broker-dealer.
How We Can Assist You
- Preparation of review or audit reports based on your capital-raising goals.
- Assess the accuracy of your company's financial statements to ensure compliance.
- Provide valuable insights into your business and identify potential areas for improvement.
- Evaluate the accuracy and completeness of financial statements.
- Internal control review procedures.
Review & Compilations
Guidwell offers financial reporting services tailored to the client’s needs.
Providing various levels of assurance services are
- Review: Our risk-based approach enhances the service efficiency and effectiveness. Leveraging our industry expertise, we customize audit plans and review processes to concentrate on the most relevant accounting issues for your business. This involves various tools, inquiries, analytic procedures, and re-computations to investigate any unusual items that may require clarification.
- Compilation of financial statements as per appropriate accounting principles and a general understanding of the client’s business, expressing no opinion or assurance on the statements.
