Gretchen Sturdivan Biography-- SEC Compliance Solutions LLC

Gretchen began her conformity journey in 2015, operating in the business advancement, management, and conformity divisions for an institutional financial investment consulting company. Ashland Partners & Business, LLP developed a brand-new division-- Ashland Compliance Team-- in action to the adoption of Regulation 206( 4 )-7 of the Financial Investment Advisers Act of 1940: the Compliance Policy. When you register as a financial investment adviser, you are instantaneously subject to a wide range of regulatory needs and burdened by the assumption to be in conformity, also when you are unfamiliar with them.

This outsourced service is for newly-registered advisers, advisors switching from SEC to State registration or vice versa, and exempt coverage advisers changing to SEC and the other way around. Our compliance services are here to ease your conformity problem, simplify your process, and support your understanding of regulatory needs.

We serve new financial investment advisors, developed RIAs, and private fund consultants, both in the united state and worldwide. Allow's face it: It can be overwhelming to recognize and use SEC conformity requirements that are specific to your service and incorporate them right into your RIA conformity program.

The physical arrangement of her company was so tough and stressful, she was struggling to discover the moment to execute any compliance needs. We consist of three months of post-exam consulting to assist remedy and make any type of updates to your conformity program, to make sure that you can walk away feeling prepared, revitalized, and certain.

We likewise share the experience of advisors that the sec reporting requirements has checked out considering that they registered to help you better prepare your company for an SEC examination. As the creator and the CCO of her brand-new company, our customer came to us due to the fact that she was putting on several hats, jugging the essential elements of setting up a brand-new service while browsing the nuances of conformity.

Our Yearly Compliance Testimonial Core Solution Package for signed up advisers will help guarantee your compliance develops with your company and the sector. We take our experience of collaborating with a variety of signed up investment advisors and share what we have actually discovered to aid you simplify your processes and issue address any type of compliance complexities you run into.