Knowledge Center

The Knowledge Center is designed to provide valuable information concerning the financial services industry.

The Insider

Check out the FIC Blog to read our latest Case Studies, Info Sheets, and insights.
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Info Sheets

We have created an array of brief summaries of the applicable regulations and topics that impact broker/dealers and investment advisers.
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Case Studies

We offer case studies as examples of how we have provided professional support to various firms.
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Industry News

Keep up to date on financial industry news and the regulatory authorities through these resource links.
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The Enterprising Firm Creating a Broker/Dealer

Background An enterprising firm had begun contemplating whether they should form a broker/dealer. They had been working with corporations and various institutions in providing strategic consulting advice on strategic partnerships, mergers and acquisitions, capital raises, and corporate restructurings. The firm wanted to enhance their business by offering private placements and have the opportunity to receive … read more

Establishing an Investment Adviser

Background Over the last decade, there has been increasing interest on the part of entities and individuals to form investment advisers. This is evident based on statistical evidence and experiences of FIC. The following paragraphs provide some basic information on starting an investment adviser. Regulatory Agencies The primary regulator(s) with whom you will seek approval … read more

The Departure of the Chief Compliance Officer Prior to a Regulatory Audit

Background The loss of a key senior professional is significant at any time. The significance is heightened when the departure takes place shortly before a regulatory audit. One company was faced with this situation with the departure of its Chief Compliance Officer within two months of a regulatory audit. Right after the departure of the … read more

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