Investment Adviser Services
Solid™ has the experts that work with firms either initially to build a compliance program infrastructure or to improve a firm’s existing compliance program. Our experts provide the guidance firms need to meet the expectation of the SEC, state regulators and other self-regulatory organizations.
Learn MoreBroker/Dealer Services
Solid™ consultants have been working with broker/dealers for more than thirty years on average. Our professionals utilize their experience to assist your firm in determining requirements under FINRA Regulation, MSRB and SEC requirements. Solid™ tailors programs specific to your firm’s unique concerns.
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Mergers & Acqusitions
The assessment of compliance risks in connection with due diligence upon the acquisition of a company is increasingly becoming market standard in the United States. Firm’s must undertake best efforts to understand all risks and address them prior to or at the time of the corporate action.
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Cyber Security Programs
FINRA and many State Securities Regulators have continued to communicate concerns regarding Cybersecurity Risks. Solid™ assists firms in meeting regulatory expectation that firm’s address these risks with adequate protective measures.
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Investment Banking
The assessment of compliance risks in connection with due diligence upon the acquisition of a company is increasingly becoming market standard in the United States. Firm’s must undertake best efforts to understand all risks and address them prior to or at the time of the corporate action.
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We are here to help.
A Solid™ consultant is available to discuss how your firm can take advantage of all that Solid™ has to offer & move your company forward
