Erica Hammericksen Biography-- SEC Compliance Solutions LLC

Gretchen started her compliance journey in 2015, operating in the business growth, administrative, and compliance divisions for an institutional financial investment consulting firm. Ashland Allies & Company, LLP created a new department-- Ashland Conformity Team-- in response to the adoption of Regulation 206( 4 )-7 of the Investment Advisers Act of 1940: the Compliance Rule. When you sign up as a financial investment adviser, you are instantly subject to a wide range of governing needs and burdened by the expectation to be in compliance, also when you are not familiar with them.

This outsourced solution is for newly-registered advisors, advisers switching over from sec compliance outreach program to State registration or the other way around, and exempt coverage consultants switching over to SEC and the other way around. Our conformity solutions are right here to alleviate your conformity worry, simplify your process, and sustain your understanding of regulatory requirements.

We serve new financial investment consultants, established RIAs, and personal fund consultants, both in the united state and globally. Let's face it: It can be overwhelming to use and understand SEC conformity needs that are specific to your organization and incorporate them into your RIA conformity program.

The physical configuration of her company was difficult and so difficult, she was struggling to find the moment to apply any type of conformity requirements. We consist of 3 months of post-exam consulting to assist fix and make any updates to your compliance program, so that you can leave really feeling ready, freshened, and confident.

We are below to raise these clients up and offer our competence to make their compliance programs smooth and less taxing. We after that strip away any methods and regulations that are not applicable to your company and document a yearly testimonial customized to your company.

This contracted out Core Compliance Service Package is for newly-registered advisers, consultants changing from SEC to State registration or the other way around, and exempt reporting advisers switching to SEC and the other way around. Our clients employ different strategies on both a optional and non-discretionary basis, such as United State Equity, Foreign Equity, Fixed Revenue, Personal Equity, and Future Contracts.