Gretchen Sturdivan Bio-- SEC Conformity Solutions LLC

Gretchen started her conformity trip in 2015, working in business advancement, administrative, and conformity departments for an institutional financial investment consulting company. Ashland Partners & Company, LLP created a new division-- Ashland Conformity Team-- in feedback to the fostering of Rule 206( 4 )-7 of the Financial Investment Advisers Act of 1940: the Compliance Guideline. When you sign up as an investment adviser, you are instantly subject to a multitude of regulative requirements and burdened by the assumption to be in conformity, even when you are not familiar with them.

The Mock SEC Exam can also function as the yearly testimonial for your company. Begin with a streamlined compliance program that saves you time, day in day out, every year, and enjoy processes that are easy to follow and plans that are understandable, review, and update annually.

We offer brand-new investment advisers, developed RIAs, and exclusive fund consultants, both in the U.S. and internationally. Allow's encounter it: It can be overwhelming to apply and comprehend SEC conformity needs that are specific to your service and integrate them into your RIA compliance program.

We comprehend that each consultant what is sec compliance distinct, and we take the time to listen to your specific situation to make sure we use the compliance needs in a sensible manner in which fits your needs. SCS will function as an extension of your conformity team throughout the year and provide limitless consulting support.

We are below to raise these clients up and offer our competence to make their conformity programs smooth and much less lengthy. We after that remove any practices and rules that are not suitable to your company and record a yearly review personalized to your company.

This outsourced Core Conformity Solution Plan is for newly-registered consultants, consultants changing from SEC to State registration or the other way around, and excluded reporting consultants switching to SEC and the other way around. Our clients use different strategies on both a discretionary and non-discretionary basis, such as United State Equity, Foreign Equity, Fixed Income, Exclusive Equity, and Future Dealings.