Your company’s one source for robust operations, legal and compliance support.
Your company’s one source for robust operations, legal and compliance support.
FiSolve helps asset management and financial services firms achieve and sustain excellence in operational processes, legal oversight and compliance support so our clients may drive business forward.
Our team helps your team when embarking on new business initiatives, evaluating and overseeing your service providers, and providing the absolute best client experience.
Operations, legal and compliance departments at money managers and financial services firms have been under tremendous strain.
FiSolve is here to level the playing field.
“FiSolve brings a unique perspective by helping us with operations, legal and compliance. We receive top-level support to our teams in a thoughtful and cost effective manner.”
Christopher Barnett, co-CEO and Managing Member
Who We Serve
Imagine Having An Expert Bolster Your Team As Needed.
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Ways FiSolve Can Help
SEC Division of Examinations Announces 2023 Priorities
2023 SEC EXAMINATION PRIORITIES On February 7, 2023, the United States Securities and Exchange Commission’s Division of Examination (“Examination Staff”) published its 2023 examination priorities…
Read moreSEC Proposes New Service Provider Oversight Rules
On October 26, 2022, the United States Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 (“Proposed Rule”). If adopted, the rule would prohibit registered investment…
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SEC Division of Examinations Publishes Risk Alert on MNPI Compliance Issues
Exposure to material nonpublic information (“MNPI”) remains one of the highest risks for many firms in the financial services industry, with special considerations for investment…
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We will show you how FiSolve will position your firm to grow its assets and bolster its processes.