Insights
Non-GAAP Financial Measures: 10 Recommendations for Compliance and Reducing the Risk of SEC Staff Comments
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Remaining compliant with the numerous Securities and Exchange Commission’s (SEC) rules and regulations presents a never ending challenge for publicly-traded companies.
As the watchdog of the nation’s securities market, the SEC has made it clear that companies must comply with SEC rules and regulations. The SEC’s policy of strict guideline enforcement places increasing pressure on businesses to stay current with complex and changing requirements.
Marcum’s Capital Markets Practice Group stays on the cutting edge of SEC policies, practices and procedures. Our technical ability in the area of SEC reporting ensures that our clients remain compliant, despite ongoing regulatory revisions. At the same time, our commitment to superior personal service and a broad range of professional services positions our clients to realize their financial goals.
In 2011, Marcum was added to the listing of “non-Big Four national auditing firms” by Accounting News Report’s (ANR) Auditor Rankings, Marcum’s first-ever addition to the prestigious national firm individual breakout group. The ranking is a direct reflection of the quality of Marcum’s growing practice, the ninth largest SEC practice in the nation among the top 100 firms according to AuditAnalytics.com.
Contact the National Leader
David C. Bukzin
Vice Chairman & Capital Markets LeaderMarcum has been helping businesses grow since 1951. As new industries and business opportunities emerge, Marcum provides timely, proactive and effective services to help publiclytraded businesses thrive and prosper.
- We offer a team approach to client service, utilizing all the resources of our firm’s business consulting and accounting practices.
- We take a flexible, practical approach to the delivery of audit, tax and consulting services in the ever-changing business environment.
- We have the technical experience you value and the personal service you deserve.
- Our engagement partners and professional staff are readily available to you at all times.
- We offer access to our established network of strategic partners, contacts, and resources within the financial, banking and professional communities.
- We are founding members of The Leading Edge Alliance, an international group of independent accounting firms that provides us with affiliates in most major North American cities and countries throughout Europe, Asia, the Pacific Rim and South America.
Reviews/Quality Control
Marcum LLP complies with the quality control standards established by AICPA (American Institute of Certified Public Accountants). We adhere to a program that addresses independence, integrity, and objectivity; personnel management; acceptance and continuance of clients; engagement performance; and monitoring.
Review Department
Marcum’s review department serves as a technical resource for guidance with respect to Generally Accepted Accounting Principles (GAAP), Generally Accepted Auditing Standards (GAAS), Securities and Exchange Commission (SEC) Compliance, the standards of the Public Company Accounting Oversight Board (PCAOB), and all other accounting and audit-related issues.
Specialty Audits
In addition to performing audits on financial statements of our regular clients, we perform specialty audits and offer a vast array of services to specialty industries.
Peer Review
To ensure that Marcum’s quality control standards meet, adhere to, and are in compliance with the standards established by the SEC Practice Section of the AICPA, we are reviewed tri-annually by a process called “Peer Review.”
Peer review consists of a rigorous examination of the Firm’s systems, procedures and quality controls relating to the auditing, reviews, and compilations that Marcum LLP performs. It is conducted by an independent CPA firm that issues an opinion based on their analysis. This review dictates that our system of quality control for auditing and accounting practices continue to meet objectives of and comply with the quality control standards established by the AICPA and monitored by the SEC and the PCAOB.
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Monthly recap of issues affecting publicly-traded companies.
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