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Saturday, November 16, 2019

FIN Compliance partners with Delve Risk Solutions

By Cory Roberson, Principal of FIN Compliance, Lancer, Ventures

November 16, 2019.  FIN Compliance is pleased to announce a strategic relationship with Delve Risk Solutions ("Delve") in an effort to assist firms in matters relating to cybersecurity, risk management, and general cloud security consulting. 

Delve will join the FIN Compliance vendor referral network of partners in: Practice Management, Marketing/Social Media, Accounting, and more. About Delve https://delverisk.com

Cyber Risks are growing for investment firms and financial networks

Delve was founded on the principle of bringing deep cybersecurity expertise and thought leadership beyond the boundaries of banks and mega multinational corporations.  

Delve and FIN Compliance recognize the industry needs for policy implementation and education.  According to a 2019 Investment Advisor examinations report, state securities administrators discovered cybersecurity deficiencies in 26% of the state registrant firms examined during a six month period.  SEC Registrants, representing some of the largest investment firms in the country, also face issues related to cybersecurity controls as highlighted in a SEC OCIE Risk Alert  also produced from its own examination findings. 

Delve helps firms interpret and implement its cybersecurity policies.  The practice relies on leveraging its experience in managing some of the largest cybersecurity programs in the world and delivering a rationalized approach to organizations of varying sizes, complexity and scope. 

The firm maintains a key focus on business execution and balancing risk.


Its primary services include senior management/executive advice on cybersecurity, risk management, best practices with innovation, and in providing assistance for technology leaders as they join new firms and teams.

Delve also engages with start-up and established technology organizations to shape customer messaging, sales education, and to develop go to market strategies towards its customer segments.
Cybersecurity Review Services

Delve aims to help organizations balance and manage their technology and business risks.  

Its range of services include: (1) security policy review/creation/support; (2) incident response plans for breaches, and (3) cybersecurity health checks to ensure that risks are being appropriately managed when factoring in a firm’s business operations and workflows.

Delve, along with FIN Compliance, is also available to help leaders in addressing advisor regulatory requirements associated with cybersecurity and data privacy.

FIN Compliance Vendors/Referral Network

Delve will serve as a part FIN Compliance's vendors referral network that includes: Atlas Park (Practice Management), Elite Viviant (Marketing/Social Media), and more.  

Select vendors may choose to advertise on our Vendor Offers Directory for a fee.

About FIN Compliance

FIN Compliance (FinCompliance.io) is a consortium of compliance, consulting, and business management solutions designed to help boutique investment firms to structure, maintain, and develop their internal regulatory review programs.  

Our product line consists of: RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management system, B-D Review, a Hybrid-management system (est. in 2020)*, and FIN Lancer, a Business/Task Management system. 

Access all services on one site: FINCompliance.io.




Products and Services

RIA Registration Services:  Registering new firms/updating jurisdictions.
RIA Compliance Consulting:  Assistance with ongoing reviews, policy & procedures, and filings.
Compliance Management System: Online system for internal review processes.
Business Management System: Team Projects, Task Delegation processes, Business/Firm Directory, E-contracts, workflows, and more. 
Mergers/Transitions:  Business Succession/Partnership/Deal Flow Matchmaking Services.

Our Approach

Compliance Management - We work with companies who are seeking to manage their compliance obligations - serving more than 175+ firms with compliance services and a system of SEC and state regulatory resources located on one site.

Business Management - We provide firms with task-management processes and a business directory to connect with other firms for continuity, succession planning, partnerships, and deal flow.  Also, we have a small network of referral partners for practice management, operations workflows, accounting, and website design.

Needs Analysis Workflow - We work with firms in determining their compliance management priorities.  During/after a need’s analysis, we provide firms with compliance/business service options to address those needs and will provide firms with sample workflows for task delegation purposes.

Audit Preparation - We help firms in addressing compliance deficiencies while acting as an intermediary for resolving issues between (you) the advisor and regulators/examiners. We can also assist firms in audit prep measures.

Regulatory Changes - We research regulatory updates from state, SEC, and/or FINRA jurisdictions. We’re here to help as some rules/regulations may be amended over time.

Impact/Missions

FIN Ventures focuses on business strategy consulting for impact-based projects (FINVentures.io).  

FIN Missions (FINmissions.com) provides business/vision support group sessions for other entrepreneurs and youth mentoring.  In addition, Cory has volunteered for more than fifteen youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.

Please inquire at: (FINCompliance.io) for more information. 




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