About Us

Compliance

SoHo Dragon's compliance practice offers broker-dealers, registered investment advisors, banks and asset management the following services:

  • FINRA New Membership Applications (“NMA”) and Continuing Membership Applications (“CMA”)
  • Affiliated Investment Advisor Conflicts of Interest Assessments
  • Overall Compliance Strategies and Execution
  • Written Supervisory Policies and Procedures
  • Annual WSP CEO Certification Reports
  • Fraud and AML Investigations
  • Annual Anti-Money Laundering Assessments
  • Market Access (SEC Rule 15c3-5) Assessments
  • SEC, FINRA, and State Inquiry and Investigation Responses
  • Annual or Periodic Branch and Desk Mock Examinations
  • Financial and Operations Principal (FinOp) Services
  • Annual Compliance Meetings and Firm Element Training
  • Ongoing Registration Services (Form U-4, Form U-5, Form BD)

We have the ability to offer the following end-to-end compliance support services:

  • Compliance Operational Risk Assessments
  • Compliance Technology Road-Mapping
  • Training and Development

Regulatory Guidance for Capital Markets and Investment Banking Services include:

  • Equities
  • Fixed Income
  • Equity, Convertible and Fixed Income Origination, Underwriting and Syndicate
  • OTC Derivatives and Listed Options
  • Securitized Products

With our technology team and proprietary engagement framework, we help create business value, streamline support functions, manage regulatory risks and transform operations to drive competitive advantage and profitability.