
Governance, Risk, and Compliance
SoHo Dragon's GRC practice
SoHo Dragon's governance, risk, and compliance (GRC) practice serves a horizontal list of industries including broker-dealers, registered investment advisors, banks, and asset managers. We offer expertise with numerous vendor solutions and are an Archer (formerly RSA Archer) partner. SoHo provides the following GRC services:
- GRC platform technical implementations
- GRC strategic advice and counsel
- The Unified Compliance Framework
- FINRA new membership applications (NMA) and continuing membership applications (CMA)
- Affiliated investment advisor conflicts of interest assessments
- Overall compliance strategies and execution
- Written supervisory policies and procedures
- Annual WSP CEO certification reports
- Fraud and AML investigations
- Annual anti-money laundering assessments
- Market access (SEC Rule 15c3-5) assessments
- SEC, FINRA, and state inquiry and investigation responses
- Annual or periodic branch and desk mock examinations
- Financial and operations principal (FinOp) services
- Annual compliance meetings and firm element training
- Ongoing registration services (form U-4, form U-5, form BD)
- Global GRC practice presence across 5 countries and 4 continents (Americas, EMEA, META, and APJ)
- Regional in-theatre offices to provide regulatory and compliance-framework expertise
We offer the following end-to-end compliance support services:
- Compliance operational risk assessments
- Compliance technology road-mapping
- Training and development
Regulatory guidance for capital markets and investment banking services include:
- Equities
- Fixed income
- Equity, convertible and fixed income origination, underwriting and syndicate
- OTC derivatives and listed options
- Securitized products
Our practice combines a strategic GRC program consultancy with world-class technical implementation to strengthen your organization’s risk and compliance capability.