Erica Hammericksen Bio-- SEC Compliance Solutions LLC

SEC Conformity Solutions partners with brand-new investment consultants, developed RIAs, and exclusive fund advisers. She really felt the New Consultant Setup service was worth every penny to have the support and proficiency beside her, minimizing tension and aiding her concentrate on the elements of her company that highlighted her toughness and reminded her of why she began her company in the first place.

The Mock sec compliance program rule Examination can additionally act as the yearly testimonial for your firm. Start out with a simplified compliance program that saves you time, every day, time after time, and delight in procedures that are very easy to comply with and policies that are easy to understand, evaluate, and upgrade every year.

We serve new financial investment consultants, established RIAs, and personal fund advisors, both in the U.S. and worldwide. Let's face it: It can be frustrating to recognize and apply SEC compliance requirements that are specific to your business and integrate them into your RIA conformity program.

The physical arrangement of her firm was so tough and stressful, she was battling to locate the moment to execute any kind of compliance needs. We consist of three months of post-exam consulting to assist correct and make any kind of updates to your compliance program, to make sure that you can walk away really feeling ready, rejuvenated, and confident.

We additionally share the experience of advisers that the SEC has analyzed since they signed up to aid you far better prepare your company for an SEC examination. As the owner and the CCO of her brand-new company, our customer concerned us since she was using several hats, jugging the vital facets of setting up a brand-new business while browsing the subtleties of conformity.

This contracted out Core Compliance Service Package is for newly-registered advisers, advisors switching from SEC to State registration or vice versa, and exempt reporting advisers switching to SEC and vice versa. Our customers employ numerous methods on both a non-discretionary and discretionary basis, such as United State Equity, Foreign Equity, Fixed Income, Private Equity, and Future Contracts.