Erica Hammericksen Biography-- SEC Conformity Solutions LLC

Gretchen started her conformity trip in 2015, working in business development, administrative, and compliance departments for an institutional financial investment consulting firm. Ashland Allies & Company, LLP developed a new division-- Ashland Conformity Group-- in feedback to the adoption of Regulation 206( 4 )-7 of the Financial Investment Advisers Act of 1940: the Compliance Regulation. When you register as an investment consultant, you are immediately based on a wide range of regulative requirements and strained by the assumption to be in compliance, even when you are unfamiliar with them.

This outsourced service is for newly-registered consultants, advisors switching from SEC to State registration or vice versa, and excluded reporting consultants changing to SEC and vice versa. Our conformity remedies are here to relieve your conformity worry, simplify your process, and support your understanding of regulatory needs.

This service is for presently signed up Investment Advisers that are aiming to improve their conformity program and outsource their Yearly Conformity Evaluation. Knowing that you will not obtain an expense every single time you call, opens the door to a consistent flow of sincere communication with our consultants and permits us to be reliable in supporting your RIA conformity demands.

The physical setup of her firm was difficult and so strenuous, she was battling to locate the time to carry out any compliance demands. We include three months of post-exam consulting to aid remedy and make any type of updates to your conformity program, to make sure that you can walk away feeling prepared, revitalized, and confident.

We are here to lift these clients up and offer our knowledge to make their compliance programs smooth and much less taxing. We after that remove any type of techniques and policies that are not applicable to your company and record an annual evaluation customized to your firm.

This contracted out Core Conformity Service Bundle is for newly-registered advisors, advisers switching over from SEC to State enrollment or vice versa, and excluded coverage advisers switching over to sec reporting requirements and the other way around. Our clients use numerous methods on both a discretionary and non-discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Revenue, Personal Equity, and Future Dealings.