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 Risk Alert: Broker-Dealers AML / CFT Programs
On July 31, 2023, the U.S. Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) published a Risk Alert sharing observations regarding anti-money laundering (“AML”)…
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SEC Risk Alert: Safeguarding Customer Records and Information at Branch Offices
On April 26, 2023, the U.S. Securities and Exchange Commission’s Division of Examinations issued a Risk Alert to highlight the importance of establishing written policies…
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SEC RISK ALERT: Observations from Examinations of Newly-Registered Advisers
On March 27, 2023, Staff from the SEC’s Division of Examinations published guidance stemming from examinations of newly registered investment advisers. The Staff notes these…
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We will show you how FiSolve will position your firm to grow its assets and bolster its processes.