FINOP / Accounting

CSG can handle bookkeeping/accounting, regulatory reporting and FINOP responsibilities, allowing a firm to focus on its revenue generating activities.

CSG consultants not only hold the required FINRA qualifications, but have have the hands-on experience needed to maintain a firm’s books.  In addition, CSG works with licensed CPAs to ensure that all work is GAAP compliant as well.

Financial Services performed by CSG include (but are not limited to):

  • Manage general ledger functions (bookkeeping functions and adjusting entries).
  • Completion of Financial Statements.
  • Preparation of Net Capital Computation and Filing of FOCUS Report.
  • Participation in FINRA/SEC examinations and annual financial audits.
  • SIPC annual reporting.
  • Virtual FINOP (Financial and Operations Principal).
  • Recruitment assistance for firms searching for qualified Financial and Operations Principal.
  • Advise clients on changes in Financial Responsibility Rules and how changes or transactions with impact the firm’s net capital.

CGS consultants may act as a Firm’s FINOP or just as a service provider under the Firm’s FINOP.