Gretchen Sturdivan Biography-- SEC Compliance Solutions LLC

Gretchen began her compliance journey in 2015, working in business advancement, administrative, and compliance divisions for an institutional investment consulting firm. Ashland Partners & Business, LLP created a new department-- Ashland Conformity Group-- in reaction to the fostering of Rule 206( 4 )-7 of the Investment Advisers Act of 1940: the Conformity Regulation. When you register as an investment advisor, you are quickly subject to a wide variety of governing needs and strained by the assumption to be in conformity, even when you are not familiar with them.

This outsourced service is for newly-registered advisors, advisors switching from sec reporting requirements for otc companies to State enrollment or vice versa, and excluded reporting advisors switching to SEC and vice versa. Our compliance solutions are below to alleviate your conformity worry, simplify your process, and sustain your understanding of regulatory requirements.

We offer new investment consultants, developed RIAs, and exclusive fund advisers, both in the U.S. and worldwide. Let's face it: It can be frustrating to apply and understand SEC compliance requirements that are specific to your organization and integrate them right into your RIA conformity program.

We recognize that each adviser is one-of-a-kind, and we put in the time to pay attention to your individual circumstance to see to it we apply the compliance requirements in a sensible manner in which fits your needs. SCS will act as an expansion of your conformity group throughout the year and provide limitless consulting support.

We additionally share the experience of advisers that the SEC has actually analyzed given that they signed up to help you far better prepare your company for an SEC examination. As the owner and the CCO of her brand-new company, our customer pertained to us since she was putting on several hats, jugging the necessary aspects of establishing a new service while browsing the subtleties of conformity.

This outsourced Core Conformity Solution Bundle is for newly-registered advisers, consultants switching over from SEC to State enrollment or the other way around, and excluded coverage advisers switching over to SEC and the other way around. Our clients utilize different methods on both a discretionary and non-discretionary basis, such as United State Equity, Foreign Equity, Fixed Earnings, Personal Equity, and Future Contracts.