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
Case Studies
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.