Gretchen Sturdivan Bio-- SEC Compliance Solutions LLC

SEC Compliance Solutions companions with brand-new investment advisers, established RIAs, and private fund advisors. She really felt the New Consultant Configuration solution was worth every cent to have the assistance and knowledge beside her, lowering stress and aiding her concentrate on the elements of her company that highlighted her toughness and advised her of why she started her company to begin with.

This outsourced solution is for newly-registered advisers, advisors changing from SEC to State enrollment or vice versa, and exempt reporting advisers switching over to sec reporting requirements for otc companies and vice versa. Our compliance remedies are below to relieve your compliance concern, simplify your process, and support your understanding of regulative requirements.

This solution is for presently signed up Financial investment Advisers that are looking to enhance their conformity program and outsource their Annual Conformity Evaluation. Knowing that you will not obtain a costs every time you call, unlocks to a continuous flow of honest communication with our specialists and allows us to be efficient in supporting your RIA conformity demands.

We comprehend that each consultant is distinct, and we take the time to listen to your specific scenario to see to it we apply the conformity needs in a useful manner in which fits your requirements. SCS will work as an expansion of your compliance team throughout the year and offer unrestricted consulting support.

We are here to raise these customers up and supply our expertise to make their compliance programs seamless and less lengthy. We after that remove any practices and regulations that are not appropriate to your firm and record a yearly testimonial customized to your company.

This outsourced Core Compliance Solution Bundle is for newly-registered consultants, advisors switching from SEC to State enrollment or the other way around, and excluded reporting consultants changing to SEC and vice versa. Our customers utilize numerous approaches on both a discretionary and non-discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Earnings, Personal Equity, and Future Contracts.