Erica Hammericksen Biography-- SEC Compliance Solutions LLC

SEC Compliance Solutions partners with new financial investment advisors, established RIAs, and exclusive fund consultants. She felt the New Consultant Configuration service deserved every cent to have the support and know-how beside her, reducing stress and helping her concentrate on the components of her firm that highlighted her strengths and reminded her of why she started her company to begin with.

The Mock SEC Test can also function as the yearly evaluation for your firm. Begin with a simplified conformity program that conserves you time, day in day out, every year, and appreciate procedures that are very easy to follow and policies that are understandable, examine, and update each year.

This solution is for presently registered Financial investment Advisers who are looking to streamline their compliance program and outsource their Yearly Conformity Testimonial. Recognizing that you will certainly not get an expense each time you call, opens the door to a consistent flow of honest communication with our professionals and enables us to be effective in supporting your RIA conformity needs.

We understand that each consultant is distinct, and we put in the time to pay attention to your individual situation to make sure we apply the compliance demands in a useful way that fits your requirements. SCS will certainly function as an expansion of your conformity group throughout the year and provide endless consulting support.

We are right here to lift these clients up and supply our experience to make their conformity programs smooth and less taxing. We after that remove any practices and regulations that are not appropriate to your company and record a yearly evaluation personalized to your firm.

This outsourced Core Compliance Solution Plan is for newly-registered advisors, advisors changing from sec reporting requirements cybersecurity to State enrollment or the other way around, and excluded reporting consultants switching over to SEC and the other way around. Our clients utilize various approaches on both a discretionary and non-discretionary basis, such as United State Equity, Foreign Equity, Fixed Earnings, Personal Equity, and Future Dealings.