Securities & Commodities Regulatory & Enforcement Support

Accounting and financial support when regulatory scrutiny requires reliable numbers.

A.Y.Bassam & Co. LLP provides accounting, tax, and financial analysis to businesses, financial professionals, investors, and legal counsel involved in securities, commodities, investment, and trading-related matters.

Our role is financial rather than legal. We can review books and records, reconcile transactions, analyze gains and losses, evaluate financial representations, prepare tax analyses, and organize information for examinations, investigations, disputes, or enforcement-related matters. Legal advice, representation, and regulatory interpretation are handled by qualified counsel.

Securities

We support broker-dealers, investment advisers, companies, executives, and investors with financial record analysis, tax reporting, transaction reconciliation, and other accounting matters connected to securities activities.

Books and records analysis
Trading and transaction reconciliation
Financial statement review
Tax reporting and basis analysis
Financial schedules for examinations or investigations

Commodities & Derivatives

We provide financial and tax analysis for businesses and investors involved in futures, swaps, foreign exchange, digital assets, and other derivative or commodity transactions.

Gain and loss reconciliation
Tax characterization support
Transaction tracing
Financial reporting analysis
Cross-border tax coordination

Related Litigation

When regulatory matters lead to disputes, investigations, arbitration, or litigation, we support counsel with the underlying financial, accounting, and tax analysis needed to understand and present the facts.