Erica Hammericksen Biography-- SEC Compliance Solutions LLC

Gretchen started her conformity trip in 2015, working in business growth, administrative, and compliance departments for an institutional financial investment consulting firm. Ashland Partners & Business, LLP developed a new division-- Ashland Compliance Team-- in response to the adoption of Rule 206( 4 )-7 of the Investment Advisers Act of 1940: the Compliance Guideline. When you sign up as an investment advisor, you are quickly based on a wide range of governing requirements and strained by the expectation to be in conformity, even when you are not familiar with them.

The Mock sec compliance Solutions Test can likewise function as the yearly evaluation for your firm. Start out with a streamlined conformity program that conserves you time, every day, time after time, and enjoy procedures that are easy to comply with and plans that are understandable, examine, and update annually.

This service is for currently signed up Financial investment Advisers that are looking to streamline their compliance program and outsource their Annual Compliance Evaluation. Knowing that you will not get an expense each time you call, unlocks to a continuous circulation of truthful communication with our experts and enables us to be efficient in supporting your RIA conformity requirements.

The physical arrangement of her firm was so tough and difficult, she was having a hard time to find the time to implement any compliance needs. We consist of three months of post-exam consulting to help remedy and make any kind of updates to your conformity program, to make sure that you can walk away really feeling prepared, rejuvenated, and positive.

We additionally share the experience of consultants that the SEC has analyzed because they signed up to assist you better prepare your firm for an SEC exam. As the founder and the CCO of her brand-new company, our customer came to us because she was wearing numerous hats, jugging the necessary facets of establishing a new organization while browsing the subtleties of compliance.

This contracted out Core Conformity Solution Plan is for newly-registered consultants, advisers changing from SEC to State enrollment or the other way around, and excluded coverage consultants switching to SEC and vice versa. Our customers utilize various methods on both a discretionary and non-discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Income, Private Equity, and Future Contracts.