Diles Consulting is a powerhouse in the realm of regulatory and compliance solutions, spearheaded by President and Founding Principal Colleen Diles. With over 25 years of sterling expertise in the securities industry, Colleen boasts an impressive tenure at the Financial Industry Regulatory Authority (FINRA), where she diligently led Examination and Risk Monitoring teams for 22 years.

Our company prides itself on offering unparalleled consultative services across the United States and Canada, tailored to meet each client's unique regulatory and compliance requisites with precision and efficacy. 

Work directly with Colleen to ensure your FINRA New or Continuing Member Application is complete, thorough, and ready for approval. This includes ensuring that all required documentation is complete and accurate.

Diles Consulting provides expert advice and support to help firms adhere to industry regulations and internal policies. This service ensures that firms operate within legal and regulatory frameworks.  Let Colleen complete unbiased gap assessments of your firm’s operations, compliance practices, or specific incidents. Independent reviews help identify areas for improvement and ensure adherence to regulations.

Offering expert testimony and consulting services in legal disputes related to broker-dealer financial services, compliance issues, and regulatory matters. This service is crucial in arbitration/litigation where specialized knowledge is required. Colleen has experience analyzing case documents and evidence, preparing reports and expert opinions, and testifying in court regarding industry standards and practices.

These services collectively support broker-dealers in navigating the complex regulatory landscape, enhancing compliance, and resolving disputes effectively. Whether seeking FINRA membership, ensuring compliance, leveraging expert testimony, or undergoing an independent review, firms can benefit from specialized knowledge and tailored support.

Diles Consulting

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Diles Consulting

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