REGULATORY SERVICES FOR SEC & FINRA REGULATED FIRMS

ADIH Inc. is a consulting and outsourcing firm that provides mission critical regulatory services to SEC registered broker-dealers, investment advisers, hedge funds, online private placement platforms, and other regulated financial institutions. Our experience, knowledge and expertise encompasses a broad range of functions including regulatory examinations, market regulation, filings, enforcement actions, and outsourcing key roles including chief compliance officer, supervisory principal and AML officer on behalf of regulated firms. We interface with regulatory agencies including the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority, state regulatory agencies, and foreign regulatory agencies to resolve issues on behalf of financial firms.