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Public Company Audit Practice (Public Funds) - As a registered public accounting firm, Cohen & Company, Ltd. is subject to PCAOB oversight and their regular on-site inspection process over our public company audit practice. For additional information regarding the scope of the PCAOB inspection program, listing of all registered public accounting firms, results of audit firm PCAOB inspection reports, and other Board public reports and rules, please see our PCAOB report here.
Non-Public Company Practice (Private Funds) – To comply with AICPA peer review requirements, Cohen & Company, Ltd. is subject to a Peer Review by another independent public accounting firm once every three years over the portion of our practice which is not subject to PCAOB inspections (non-issuers). For additional information regarding our results of the audit firm Peer Review report, please see our Peer Review Report here.
Custody Rule Requirements – Investment companies subject to the custody rule requirements (as amended, effective date March 12, 2010) — which rely on the annual audit provision for pooled investment vehicles — are required to be audited by an audit firm registered with and subject to regular inspection by the Public Company Accounting Oversight Board (PCAOB).
Compliance with Regulation S-P – We offer a frequently asked questions document providing detail on our security safeguards and notification policy for clients impacted by Regulation S-P. Read our FAQ on how we support clients in complying with the regulation here.
Cohen & Co is committed to strategic, effective, and efficient use of technology. Relying on a broad range of technologies and processes, backed by a robust in-house IT team as well as strategic partnerships with outside vendors, we deliver industry leading business solutions. Please see here for more information on client security and cybersecurity.