ADIH Inc.
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ADIH Inc.
  • ADIH
  • ABOUT
  • SERVICES
  • CONTACT

REGULATORY SERVICES FOR SEC & FINRA REGULATED FIRMS

REGULATORY AND SUPERVISORY SERVICES

  • Chief Compliance Officer Services (Series 24)
  • Supervisory Principal Services (Series 24) 
  • Supervision of Registered Representatives
  • Private Placement Reg D, Reg A, Reg CF Compliance 
  • 1031 Exchange Compliance
  • SEC Form D Filings
  • FINRA 5123 Notice Filings
  • ADV Filings & Updates
  • FINRA Gateway Filings & Updates
  • Performance of Regulatory Functions 
  • Advertising and Sales Material Review and Filing
  • Electronic Correspondence Review (Global Relay, Smarsh)
  • Transaction Reviews
  • Branch Inspections 
  • Anti-Money Laundering Officer Services 
  • AML Testing

REGULATORY FILINGS, EXAMS, AND ENFORCEMENT ACTIONS

  • Regulatory Enforcement Actions
  • Regulatory Examinations and Investigations 
  • Regulatory Filings, Registration, and Gateway Management
  • New Membership and CMA Filing
  • SEC Form D and C Filings 
  • 5123 Private Placement Notice Filings
  • SEC Bad Actor Waiver Request

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