Case Studies

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

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

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

The Advisory Firm that Needs Updated Procedures

Background An investment adviser was in the midst of a SEC audit. The audit had been consuming significant amounts of time. It was clear to the firm and the SEC that the investment adviser would need to revise or create new compliance policies and procedures. The Chief Compliance Officer contacted FIC indicating that his firm ... read more

The National Speaker and Marketing Company Expanding their Reach

Background A well-known national speaker was seeking to expand the use of his seminars among financial professionals. He had engaged a national marketing company to assist in the design and marketing of his seminar program. The national speaker and marketing company had found over time that a lot of broker/dealers would not permit the use ... read more