Brokers / Dealers

The professionals at FIC provide a range of services to broker/dealers in addressing internal needs and requirements as well as regulatory compliance.

Investment Advisers

FIC provides professional services to investment advisers in matters related to regulatory compliance, including registration, policy development, and audit services.

Marketing Companies

FIC provides professional support to marketing companies that supply promotional and educational materials to the financial services industry.

Legal Community

FIC provides support to the legal community for issues related to the financial industry, including practices, regulations, registration, case preparation and expert witnesses.

Regulatory and Compliance Forms Made Easy

The eMarket provides your firm with templates and other useful tools in meeting compliance, operational, and training needs. We encourage you to visit regularly as frequent updates and additions are made.

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Knowledge is Essential

The Knowledge Center provides access to valuable information to broker/dealers, investment advisers, and other companies servicing the financial industry.

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Get Inside with The Insider

Check out the FIC Blog to read our latest Case Studies, Info Sheets, and insights pertaining to broker/dealers and investment advisers.

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