Elizabeth Cope Biography-- SEC Compliance Solutions LLC

elizabeth cope sec compliance solutions Compliance Solutions partners with new investment advisers, developed RIAs, and private fund advisors. She felt the New Advisor Configuration service was worth every penny to have the assistance and knowledge beside her, minimizing stress and aiding her focus on the aspects of her firm that highlighted her strengths and advised her of why she started her company to begin with.

This outsourced service is for newly-registered advisors, consultants switching over from SEC to State registration or vice versa, and exempt coverage consultants switching to SEC and the other way around. Our conformity solutions are right here to alleviate your conformity problem, simplify your procedure, and sustain your understanding of regulative requirements.

This service is for currently registered Investment Advisers that are wanting to improve their conformity program and outsource their Annual Conformity Evaluation. Knowing that you will not get a costs whenever you call, opens the door to a consistent circulation of honest communication with our professionals and enables us to be reliable in sustaining your RIA conformity requirements.

The physical configuration of her company was difficult and so difficult, she was struggling to locate the moment to execute any type of conformity demands. We include 3 months of post-exam consulting to help correct and make any type of updates to your compliance program, to ensure that you can leave really feeling ready, freshened, and positive.

We are here to lift these customers up and offer our knowledge to make their conformity programs seamless and less time-consuming. We after that strip away any kind of methods and rules that are not appropriate to your firm and record a yearly testimonial tailored to your firm.

This contracted out Core Conformity Solution Plan is for newly-registered advisers, advisors switching over from SEC to State enrollment or the other way around, and exempt reporting advisers switching to SEC and the other way around. Our clients employ numerous approaches on both a discretionary and non-discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Revenue, Private Equity, and Future Dealings.