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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 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)

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

Case Studies

California Consumer Privacy Act

Investment Bank: Security Education and Mentoring

Banking Regulation Sign-Offs

 

 

 

Our practice combines a strategic GRC program consultancy with world-class technical implementation to strengthen your organization’s risk and compliance capability.