Erica Hammericksen Bio-- SEC Conformity Solutions LLC

Gretchen started her conformity journey in 2015, operating in business advancement, management, and conformity divisions for an institutional investment consulting firm. Ashland Allies & Company, LLP formed a brand-new division-- Ashland Compliance Group-- in response to the fostering of Guideline 206( 4 )-7 of the Investment Advisers Act of 1940: the Conformity Regulation. When you register as an investment consultant, you are quickly based on a wide variety of regulatory demands and strained by the assumption to be in compliance, also when you are not familiar with them.

This outsourced service is for newly-registered advisers, advisors switching over from SEC to State registration or the other way around, and exempt reporting consultants changing to sec reporting requirements sustainability and vice versa. Our conformity options are here to ease your conformity problem, streamline your procedure, and support your understanding of governing demands.

This solution is for currently signed up Investment Advisers who are wanting to streamline their conformity program and outsource their Annual Conformity Evaluation. Recognizing that you will not get an expense every time you call, opens the door to a consistent circulation of straightforward communication with our experts and permits us to be efficient in supporting your RIA conformity demands.

We understand that each consultant is unique, and we take the time to pay attention to your specific scenario to ensure we apply the compliance demands in a practical manner in which fits your requirements. SCS will certainly work as an expansion of your compliance group throughout the year and offer endless consulting support.

We are below to raise these clients up and provide our competence to make their compliance programs seamless and less time-consuming. We after that strip away any techniques and policies that are not applicable to your firm and document an annual review customized to your company.

Our Annual Conformity Evaluation Core Solution Plan for signed up advisors will certainly help ensure your conformity evolves with your company and the sector. We take our experience of dealing with a variety of registered investment advisors and share what we have discovered to help you streamline your processes and issue resolve any type of compliance intricacies you encounter.