Gretchen Sturdivan Bio-- SEC Conformity Solutions LLC

SEC Compliance Solutions partners with brand-new financial investment consultants, established RIAs, and personal fund consultants. She really felt the New Advisor Configuration service was worth every dime to have the assistance and experience close to her, lowering stress and anxiety and helping her concentrate on the components of her company that highlighted her toughness and advised her of why she began her company to begin with.

The Mock SEC Examination can also function as the yearly testimonial for your firm. Start out with a streamlined conformity program that saves you time, day in day out, time after time, and take pleasure in processes that are easy to follow and plans that are easy to understand, examine, and upgrade each year.

We serve brand-new investment advisors, established RIAs, and exclusive fund advisors, both in the united state and worldwide. Allow's face it: It can be frustrating to use and comprehend SEC conformity requirements that specify to your service and include them right into your RIA conformity program.

We recognize that each advisor is special, and we take the time to pay attention to your specific scenario to make sure we use the conformity needs in a practical way that fits your requirements. SCS will act as an extension of your compliance team throughout the year and supply unrestricted consulting assistance.

We additionally share the experience of consultants that the SEC has taken a look at since they signed up to help you better prepare your company for an SEC exam. As the creator and the CCO of her new company, our client involved us since she was putting on numerous hats, jugging the vital aspects of establishing a new business while browsing the nuances of conformity.

This contracted out Core Compliance Solution Package is for newly-registered advisers, consultants switching from SEC to State enrollment or vice versa, and exempt coverage advisors changing to sec compliance software and vice versa. Our customers employ numerous approaches on both a non-discretionary and optional basis, such as U.S. Equity, Foreign Equity, Fixed Revenue, Private Equity, and Future Dealings.