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
WEBINAR – Best Practices: Retention of Text Messages, Slack and Other Electronic Communications
Since 2022, the SEC has initiated over 30 enforcement actions, resulting in more than $1.5 billion in penalties to enforce compliance with federal securities…
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FINRA Cybersecurity: How Does Your Firm Measure Up? 10 Best Practices for Establishing a Robust Cybersecurity Program.
By Kimberly Johnson, Senior Vice President Cybersecurity continues to be one of the most critical operational risks for financial services companies. Like many Legal and…
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Tips for a Successful 2024 Broker Dealer Compliance Program
By Kimberly Johnson, Senior Vice President Not only have we reached the year 2024, but January is almost over! Like many broker-dealers, you are likely…
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We will show you how FiSolve will position your firm to grow its assets and bolster its processes.