Timely, Business Aware and Robust Compliance Oversight

Timely, Business Aware and Robust Compliance Oversight

At FiSolve, our experienced professionals have served in CCO and senior compliance roles at financial industry firms.

We understand the need for a well-tailored, robust compliance program, which takes into account business considerations in a timely fashion.


Compliance services that aid business development.

At FiSolve we will work with your internal compliance department to support a robust compliance program that is tailored to your business.

We will maintain and update your program, and assist with critical compliance functions in a business minded manner. We have written the book on turning compliance into a competitive advantage and we share some insights here.

For smaller firms without an inhouse compliance function, FiSolve will complete that need and assist your Chief Compliance Officer (or serve in that role). FiSolve will do so in a manner that complies with regulatory and client expectations. By leveraging our expertise, you will gain top compliance support and free up resources to focus on areas that drive your business forward.


Our compliance support and administration
services include:

Chief Compliance Officer and CCO Support Services

Conduct Investment Adviser 206(4)-7 Annual Review

Conduct Mutual Fund 38a-1 Annual Review

SEC Readiness and Exam Assistance

Maintain and Update Compliance Manual

Specially Tailored Compliance Training Sessions

Expert Networks Compliance Program, including Approval Process and Oversight

Identifying and Meeting Applicable Cybersecurity Requirements

Marketing Material Review and Assist with RFPs, DDQs

Code of Ethics and Personal Trading Administration

Political Contributions Oversight and Administration

Sensitive Payments (gift/entertainment, etc.) Administration

Email review and retention

Development and Maintenance of a Securities Restricted List

Filings and Registrations

Contact Us Today

We will show you how FiSolve will position your firm to grow its assets and bolster its processes.