Gretchen Sturdivan Biography-- SEC Conformity Solutions LLC

Gretchen started her conformity journey in 2015, operating in business growth, management, and conformity departments for an institutional investment consulting company. Ashland Allies & Firm, LLP developed a brand-new division-- Ashland Compliance Group-- in feedback to the adoption of Regulation 206( 4 )-7 of the Investment Advisers Act of 1940: the Compliance Rule. When you sign up as an investment advisor, you are promptly subject to a plethora 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 advisers, advisors changing from SEC to State registration or the other way around, and exempt reporting advisors switching over to sec compliance requirements and vice versa. Our conformity services are below to relieve your compliance worry, simplify your process, and support your understanding of regulative requirements.

This service is for currently registered Investment Advisers that are wanting to simplify their compliance program and outsource their Yearly Compliance Testimonial. Understanding that you will certainly not get a costs every single time you call, opens the door to a continuous circulation of sincere interaction with our consultants and permits us to be reliable in supporting your RIA conformity requirements.

The physical arrangement of her company was so arduous and stressful, she was struggling to find the moment to apply any type of compliance needs. We include 3 months of post-exam consulting to help correct and make any kind of updates to your conformity program, so that you can leave really feeling prepared, revitalized, and certain.

We are below to raise these customers up and offer our know-how to make their conformity programs seamless and much less taxing. We then strip away any kind of practices and guidelines that are not relevant to your firm and document a yearly evaluation tailored to your company.

Our Annual Compliance Evaluation Core Solution Package for signed up advisors will certainly help guarantee your compliance develops with your firm and the market. We take our experience of working with a selection of signed up investment consultants and share what we have actually learned to aid you enhance your procedures and problem resolve any type of conformity intricacies you run into.