ADIH Inc. is a consulting and outsourcing firm that provides mission critical regulatory services to SEC registered FINRA member broker-dealers, investment advisers, hedge funds, private equity firms, and other regulated financial institutions. Our experience, knowledge, skills, and expertise encompasses a broad range of functions and regulatory matters including SEC and FINRA enforcement actions, investigations, and examinations; FINRA arbitrations regulatory filings, market regulations, trading, operations, supervision of registered representatives and OSJ branch offices, advertising regulations, and outsourcing key functions including Chief Compliance Officer, Supervisory Principal, FINRA Super Account Administrator, and AML officer functions on behalf of regulated firms. We interface with regulatory agencies including the U.S. SEC, FINRA, state regulatory agencies, and foreign regulatory agencies to resolve issues and conflicts on behalf of regulated financial institutions. We also actively follow any proposed regulations related to crypto currencies and exchanges. Should your firm wish to explore outsourcing regulatory compliance roles and functions please contact us.
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