How FIC Works with the Financial, Legal and Marketing Industries
We offer case studies as examples of how we have provided professional support to various firms. These examples allow you to understand how we work, and how our professional team advances knowledge, protects against risk, and resolves SEC and FINRA regulatory compliance issues and other matters.
While we could provide you with literally hundreds of examples, these case studies offer an inside look at how our firm operates, our vision, and the added value we provide to our clients.
- Professionals Evaluating the Possible Creation of a Broker/Dealer (Starting a Broker/Dealer)
- The Firm Seeking to Expand its Business Beyond Its FINRA Approved Activities
- The Departure of the CCO Prior to a Regulatory Audit
- The Advisory Firm that Needs Updated Procedures
- The National Speaker Seeking to Expand the Reach of His Seminars