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Compliance

SoHo Dragon's compliance practice offers broker-dealers, registered investment advisors, banks, and asset managers the following services:

  • 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

With our technology team and proprietary engagement framework, we help create business value, streamline support functions, manage regulatory risks, and transform operations to drive competitive advantage and profitability.