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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