Dean T. Carson II, C.P.A.

Solutions driven Strategic (Advisory) Services and Consulting Practice for your Business, Non Profit and / or Individual needs on Financial Decision Making. 
Integritas, Diligentia, Scientia quod Usus

Full Range CPA & Consulting Services in NY, CT, MA & TX, Select Services in other States by Inquiry / Fluent in Spanish
ph: 917-300-5190
alt: 917-231-7855

dean@dcarsoncpa.com

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Compliance and Regulatory Reporting

This site is open for update but currently has some good relevant information overviews to where we may assist with Regulatory Accounting, Tax, Compliance or related skills on Operations to consider and include Business Analysis / Project Management, Project work and more where the Financial, Operational and Regulatory research skills line up for Client Services.

See below and to the right and Contact Us or e-mail us where we can further assist at info@dcarsoncpa.com .

  • Federal / State and Local rule driven reporting

    Beyond GAAP and IFRS it is entirely possible that en Entity has Regulatory Reporting responsibilities. We use hands on experience, knowledge, teamwork and research skills to cover these needs. With considerable insight through Government and Legal Research and Industry Technical Guides and Resources on services.

    More to follow.....

  • Compliance Consulting, Supervisory Procedures, Operations Testing, and Business Analysis / Project Management.

    With the many new Dodd-Frank rules updating there are clearly many new needs in Industry for Regulated Entities to build out on Compliance. We have related hands on skills with Regulatory Compliance and strong research to adapt readily to new needs with transferable skills. We will partner with Government and Industry Resources to deliver strong  benefits with efficiency on Services as relevant to your needs as a Client on related services.

    Contact Us or e-mail info@dcarsoncpa.com

  • Legal Research skills that work well for compliance

    We dedicated significant time in developing the support lines of strong Legal, Industry and Government Research skills fit for the needs on Dodd-Frank and many other relevant points where Laws, Rules, Compliance and Financials meet in the Economy for Regulated Industries within and beyond the Financial Sector. We focused on Compliance and the many varied points where Financials and Compliance meet to assist Financial Decision Makers across Sectors.

    With core skills in the Financial Sector AND the knowledge that all events connect through Compliance and Financials at one level or the next we can help on Project Roles in Financial Entities or in any Entities where Compliance is a relevant and growing need in the current Economy working through Legal, Financial, Compliance and Economic Research skills.  To the base of Consulting and Financial skills we connect Business Analysis and Project Management skills that work well with Legal Research and a strong Financial and Operational Background to help Client needs on Services with knowledge.

    We also carry newer support lines on IT Integrity for Cross Functional Teamwork on IT Security Lines.

    Contact Us or e-mail info@dcarsoncpa.com

  • Some Updates on News, Enforcement Actions and Regulations

    Please pardon our appearance as we are updating. We are revisiting some of the lines and evolving the coverage for newer lines of learning and awareness to support needs.

    The below reader was formerly a sample run of some updates from Financial Regulations on the Enforcement side, News and more from OFAC, FRB and FDIC. It's just an example of updates - we can port to where you need us to port to on project work for Regulatory Updates and upgrades for AML and many related or similar needs. There are many possible points of needs this resource as a general reference. The most common points of needs we help on are Tax, SEC and FINRA compliance, but wide ranging research skills open the way for many diverse roles in business analysis / project management and project consulting. We are open consider the different needs and to utilize broad research skills on Compliance.

    Contact Us or e-mail info@dcarsoncpa.com

  • The Road of Financial Compliance rings to a common core on financials it generally corresponds to Risk Management, Liquidity and Capital Adequacy in the Financial Sector.

    Compliance and Regulatory Reporting is a specialized Area of Accounting and Financial Reporting corresponding to Financials, Controls, Risk Management, Liquifity and Capital Adequacy in the Financial Sector. So for Financial Services Compliance,Bank Compliance, Stress Testing,  Liquidity, Capital Adequacy Testing, Net Capital Rule, Major Exchange lines  including but in no way limited to NYSE/ ICE, CME, LSE, Eurex, Regulators, SEC, CFTC, NFA,ISDA,FRB, FFEIC,FDIC, Process like AML, Audits, Sampling,Testing, Market Data, IT Controls, Audit Controls,Financial Controls, and more we have strong resources for project level services on  teamwork linked to the top lines on resources that can link to efficient process and program audit design, financials, controls and more. We map to the key points and Count Basel III, CCAR, Dodd- Frank and more in the many resources for our lines on Project Consulting knowledge support. Most likely  to help on elements of lines of Strategy, Research, and IT aligned Project Management and Business Analysis lines.

    We map in the financial, compliance and IT aligned skills to significant level of Global Economic, Statistical, Legal and Financial Research for an optimized Global Strategic line to meet our best potential to help on diverse challenges on demand. The key point on Compliance is that somewhere someone has been there and done that before or has defined why it must be done and that is one of many relevant lines to the ways to help on needs where you are where we meet on compliant services in these cases. The rest of it corresponds to Financial sector experience and the ability to build solutions lines responsive to demand and needs where you are in the marketplace with core financial, audit and legal support skills through technology. 

    Contact Us or e-mailinfo@dcarsoncpa.com 

We are available to support Financial and Compliance driven Regulatory Reporting based on knowledge, skills, teamwork and research.

DCarsonCPA on Financial Sector Regulatory Compliance lines for Project support


We find the Close Connections between the many Federal, State and Local Regulations and corresponding duties of Accounting, Taxation, Financial Reporting, Reguatory Reporting and related Operational Compliance, Procedures and Forms. Using Government, Industry, Financial and Research skills to lead and / or support project workflows.

Contact Us or e-mail info@dcarsoncpa.com


DCarsonCPA on Financial Sector Compliance and Regulatory Reporting

We deliver Services on Regulatory Accounting, Taxation, Business Analysis / Project Management and Compliance as needed Advisory and Consulting on: 

Banks and Banking - FRB / FDIC / OCC / OTIS et al Federal / Multi-State and Local Rules.

Broker-Dealers - SEC, FINRA , CFTC

Investment Management - SEC ACTs 40 - Companies and Advisers

Commercial and Investment Banking as noted above and more.

DCarsonCPA the Key Points  key points on financials one of the legacy lines.

KYC/ AML / FINCEN

FFEIC

Insurance - State Regulations et al. STAT and GAAP, Rates and more (follow link)

Credit Unions - NCUA, State and Local Credit Unions per Regulations as applicable. Call Report Et Al.

Utilities - Energy - FERC

DCarsonCPA the Exchange Line on select exchanges, the economy and financials. 


Contact Us or e-mail info@dcarsoncpa.com 


With 20+ years Financial Services and overall Expertise at the core owning Financials, Management and Regulatory Reporting, Accounting, Taxes, Compliance and other related responsibilities in a Lean Management consulting support where depth was ALL about working smart and leveraging Industry and Government Resources to meet diverse Client needs with success.

DCarsonCPA Compliance Lines on Linkedin DCarsonCPA on Linkedin on Compliance

DCarsonCPA  on Compliance and Regulatory Reporting DCarsonCPA Top Lines on Compliance RSS

At present it's about combining Strong Hands on Skills, CPA skills, training on the Investment Analyst path, Operational and Financial Audit skills  and strong Legal Research skills to Connect with ALL Manners of Federal , State and Local Legislation, Statutes, Codes, Rules and Regulations particularly for Regulated Financial Entities. Through a strong chain of complimentary resources and technical resource that supplement the rules.

Contact Us or e-mail info@dcarsoncpa.com 


 

Compliance and Regulatory Reporting:

Providing support to specialized Government Statistical, Tax and Capital Reporting.

Broker-Dealers /  Net Capital, Insurance STAT Accounting, Bank Reserve Accounting, SEC Reporting and much more.

To be expanded

Below:

DCarsonCPA Compliance Feeds on SEC, CFTC, OCC, IRS, FDIC, Treasury and other as relevant News Updates for Compliance and Reporting.

Copyright © 2010 - 2022 Dean T. Carson II, C.P.A.. All rights reserved.

 

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Full Range CPA & Consulting Services in NY, CT, MA & TX, Select Services in other States by Inquiry / Fluent in Spanish
ph: 917-300-5190
alt: 917-231-7855

dean@dcarsoncpa.com

Follow us:TwitterFacebook

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