Regulatory Compliance Consulting
Regulatory Compliance Consulting
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At Solvin Consultancy, we provide specialized compliance and regulatory support to Registered Investment Advisers (RIAs), broker-dealers, and investment professionals. We help firms navigate the complex requirements of the SEC, FINRA, and state regulators with precision, efficiency, and practical insight.
Our approach combines technical knowledge of the securities regulatory framework with hands-on operational experience to ensure clients remain compliant, well-prepared for examinations, and positioned for growth.
RIA Registration & Regulatory Filings
RIA Registration & Regulatory Filings
We assist new and existing investment advisers through every phase of registration and regulatory maintenance.
Representative services include:
SEC and state registration filings through the IARD system
Form ADV preparation, review, and amendments
Preparation and filing of Forms U4, U5, and other CRD submissions
EDGAR-based filings
Coordination with regulators and clients to achieve timely approval and compliance
Ongoing Compliance Management
Ongoing Compliance Management
We act as an extension of your compliance team to implement and maintain effective compliance programs tailored to your business model.
Representative services include:
Annual updating amendments and renewal filings
Annual compliance reviews and risk assessments
Testing of key compliance areas (billing, advertising, email review, etc.)
Books and records audits and branch-office inspections
Monitoring of social media and marketing activities for compliance with SEC rules
Compliance Program Development & Documentation
Compliance Program Development & Documentation
We design and maintain policies that satisfy regulatory expectations while fitting each client’s unique operational structure.
Representative services include:
Compliance manuals and supervisory procedures
Codes of ethics and personal trading policies
Business continuity and disaster recovery plans
Cybersecurity and data-protection policies
Annual policy reviews and gap analyses
Regulatory Filings & Disclosure Management
Regulatory Filings & Disclosure Management
We handle the full range of regulatory submissions required of RIAs and broker-dealers, ensuring accuracy, completeness, and consistency across platforms.
Representative services include:
Maintenance of Form ADV Parts 1 and 2
Form U4/U5 filings and disclosure updates
DRP (Disclosure Reporting Page) review and remediation
Coordination of filings across IARD, CRD, and EDGAR systems
Preparation of client and investor disclosure documents
Compliance Testing & Examination Readiness
Compliance Testing & Examination Readiness
We train personnel and support compliance teams in understanding and implementing regulatory requirements across the organization.
Representative services include:
Staff training on SEC and FINRA rules
Compliance calendar creation and management
Development of supervisory workflows and escalation procedures
Ongoing consulting and project-based compliance support
Records Management & Compliance Infrastructure
Records Management & Compliance Infrastructure
We help firms build and maintain organized, audit-ready compliance systems.
Representative services include:
Digital organization of compliance documents and archives
Database and file-system structuring for easy regulator access
Maintenance of compliance logs, testing records, and evidence files
Integration of compliance technology tools and vendor systems
Project-Based & Fractional Compliance Support
Project-Based & Fractional Compliance Support
We offer flexible consulting arrangements for firms needing specialized assistance or interim compliance coverage.
Representative services include:
Short-term project management (e.g., registration, policy updates, exams)
Development of compliance testing programs
Ongoing oversight and reporting assistance
Custom compliance deliverables tailored to firm size and scope
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