Co-Founder | Compliance Consultant | CPA

Dave Banerjee serves on FINRA District 2 committee

Areas of Expertise       Dave Banerjee, CPA

  • Regulatory Compliance

  • Audits & Exams | Audit Preparation

  • CyberSecurity: Procedures and Policies

  • Risk Management, Procedures & Policies, Governance

  • Regulatory Remediation, Compliance Monitoring, and Expert Testimony

  • Technology Solutions: Blockchains, Distributed Ledgers, Smart Contracts

  • PCAOB Certified BD Audit & Audit services

  • Reg-tech Data-Driven Compliance – Sentry Software as-a Service

  • Principal Registration: CCO & FinOps

  • Compliance Training, Education, and Executive Development

Memberships & Affiliations

 

Securities Licensed Series: 4, 7, 24, 27, 53, 55, 63, 65, 79, 99

  • PCAOB   Public Company Accounting Oversight Board

  • AICPA    American Institute of Certified Public Accountants

  • NSCP      National Society of Compliance Professionals

  • SC-CG     Southern California Compliance Group

  • ISACA     Information Systems Audit & Controls Association

  • FINRA    Member since 1984

  • FINRA    District 2 Committee member – 2017-2019

Dave Banerjee CPA is co-founder and CEO of RND Resources, Inc. Under Dave’s leadership RND Resources has provided customized compliance consulting, risk assessments, audit services, accounting, registration and PCAOB services to securities firms through out the United States.

Dave has expertise providing compliance, audit, and tax planning to services for the following securities industry business models; broker-dealer, registered investment adviser, hedge fund, commodity trading adviser, commodity pool operator, futures commission merchant, bank, wealth manager, insurance company, and more.

Dave Banerjee is a well-known speaker on topics of Accounting and Compliance. He regularly participates in industry training events, conferences, seminars, webinars, on-site training, and compliance round-table meetings by providing topic presentations, analysis of regulatory trends, and discussion in best practices. Dave is always happy to answer a few questions for securities firms and enjoys networking opportunities. Request Dave’s speaker biography.

Given Dave Banerjee’s high degree of expertise in securities firms; he applies this knowledge to his CPA practice where he is a PCAOB Auditor subject to PCAOB inspections. He handles audit, business, and tax planning for many securities firms.  He is series 24 and 27 licensed allowing him to offer part time FINOP and Chief Compliance Officer oversight on an outsourced basis, saving small firms the cost of a full time salaried executive. Learn more about Dave Banerjee CPA services

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Have a question for Dave? Contact Dave Banerjee CPA at (818) 657-0288 or send a message here

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