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Comprehensive regulatory guidance for trust companies and investment managers 

With a comprehensive suite of audit and tax services, we provide deep knowledge of the complex regulatory and fiduciary obligations faced by trust companies and investment management firms alike. Our team works closely with trust clients to ensure compliance with the rules and regulations that inform SEC special reporting—including SEC paragraph (a)(1) and Rule 206(4)-2 of the Investment Advisors Act of 1940. Working in the context of these complex regulations, we understand and follow the strict procedures necessary to evaluate and ensure the adequacy of each client’s fiduciary processes and controls.

In our capacity as auditors and oversight consultants, we serve the unique needs of:

  • Trust companies
  • Trust departments in financial institutions
  • Investment management firms that work with high net worth individuals, family trusts, small businesses, and not-for-profit organizations

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