Katie Mogan Biography-- SEC Conformity Solutions LLC

sec reporting requirements for otc companies Compliance Solutions companions with new investment advisers, developed RIAs, and exclusive fund consultants. She really felt the New Consultant Arrangement solution was worth every dime to have the assistance and proficiency beside her, reducing tension and helping her concentrate on the aspects of her company that highlighted her strengths and advised her of why she began her company in the first place.

The Mock SEC Examination can likewise serve as the yearly testimonial for your firm. Start with a streamlined compliance program that conserves you time, every day, year after year, and enjoy procedures that are very easy to comply with and plans that are understandable, evaluate, and upgrade annually.

We offer new financial investment advisers, established RIAs, and personal fund consultants, both in the united state and internationally. Let's face it: It can be frustrating to apply and comprehend SEC compliance needs that are specific to your service and integrate them into your RIA conformity program.

The physical setup of her firm was so strenuous and stressful, she was struggling to locate the time to apply any kind of conformity demands. We include three months of post-exam consulting to help correct and make any type of updates to your compliance program, so that you can walk away feeling ready, freshened, and confident.

We are right here to lift these customers up and provide our experience to make their conformity programs seamless and less time-consuming. We then remove any type of techniques and guidelines that are not suitable to your company and document a yearly review tailored to your firm.

This contracted out Core Compliance Solution Bundle is for newly-registered consultants, consultants switching over from SEC to State enrollment or the other way around, and exempt coverage consultants switching to SEC and vice versa. Our customers employ numerous methods on both a optional and non-discretionary basis, such as United State Equity, Foreign Equity, Fixed Revenue, Exclusive Equity, and Future Contracts.