Erica Hammericksen Biography-- SEC Conformity Solutions LLC

Gretchen started her compliance trip in 2015, operating in business development, management, and conformity departments for an institutional financial investment consulting firm. Ashland Partners & Business, LLP formed a new department-- Ashland Conformity Group-- in action to the fostering of Guideline 206( 4 )-7 of the Investment Advisers Act of 1940: the Compliance Rule. When you sign up as a financial investment advisor, you are immediately subject to a wide range of regulative demands and strained by the expectation to be in conformity, even when you are unfamiliar with them.

This outsourced solution is for newly-registered advisers, consultants switching from SEC to State registration or the other way around, and excluded reporting advisors changing to SEC and vice versa. Our compliance solutions are below to relieve your conformity worry, streamline your process, and support your understanding of regulative needs.

This solution is for currently registered Financial investment Advisers that are seeking to improve their conformity program and outsource their Annual Compliance Testimonial. Recognizing that you will not get a bill each time you call, unlocks to a continuous flow of honest communication with our consultants and allows us to be reliable in sustaining your RIA compliance needs.

The physical arrangement of her company was so difficult and difficult, she was having a hard time to discover the moment to implement any kind of conformity requirements. We include 3 months of post-exam consulting to assist remedy and make any type of updates to your conformity program, so that you can leave feeling prepared, rejuvenated, and positive.

We likewise share the experience of advisors that the SEC has examined because they registered to help you better prepare your firm for an SEC examination. As the creator and the CCO of her brand-new firm, our client came to us since she was wearing multiple hats, jugging the essential elements of establishing a new business while navigating the nuances of conformity.

This outsourced Core Conformity Service Plan is for newly-registered advisers, advisers switching from SEC to State registration or the other way around, and exempt coverage consultants changing to sec compliance program and vice versa. Our customers employ various techniques on both a non-discretionary and optional basis, such as U.S. Equity, Foreign Equity, Fixed Earnings, Exclusive Equity, and Future Contracts.