Governance, Risk, and Compliance

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

• Compliance operational risk assessments
• Compliance technology road-mapping
• Training and development

• Equities
• Fixed income
• Equity, convertible and fixed income origination, underwriting and syndicate
• OTC derivatives and listed options
• Securitized products

California Consumer Privacy Act

Investment Bank: Security Education and Mentoring