top of page

Surprise Custody Examination 

     Registered investment advisers with custody of client funds or securities, and who are registered with the Securities and Exchange Commission (SEC), are required under the Investment Advisers Act of 1940 (i.e., SEC Rule 206(4)-2, the “Custody Rule”) to obtain external assurance for customer accounts through a surprise custody examination. The surprise custody examination is required to be performed by an independent public accounting firm registered with the Public Company Accounting Oversight Board (PCAOB). As a PCAOB-registered firm, ECB has the experience and expertise to help you comply with the new and changing compliance requirements. We aim to deliver accounting services that best meet the unique needs of every client. 


     ECB ensures reliable, high-quality and cost-effective surprise custody examination that satisfies regulatory requirements. Our team of knowledgeable professionals will make your experience as seamless as possible. We maintain regular communication with our clients to ensure that your surprise custody examination stays on track and meets requirements. 


     Our firm has the ability to perform surprise custody examinations in person or remotely across the U.S. Our cloud-based software and fixed-fee pricing supports an economical approach for completing surprise custody examinations quickly and timely. 

bottom of page