Gretchen Sturdivan Bio-- SEC Compliance Solutions LLC
Gretchen began her compliance trip in 2015, operating in business advancement, management, and conformity departments for an institutional financial investment consulting company. Ashland Partners & Company, LLP developed a new division-- Ashland Conformity Group-- in action to the adoption of Guideline 206( 4 )-7 of the Investment Advisers Act of 1940: the Compliance Policy. When you sign up as an investment adviser, you are instantly subject to a wide range of regulative demands and strained by the expectation to be in compliance, also when you are unfamiliar with them.
This outsourced solution is for newly-registered advisors, advisors switching from SEC to State registration or vice versa, and excluded reporting advisers switching to SEC and vice versa. Our conformity solutions are here to relieve your compliance problem, simplify your procedure, and sustain your understanding of governing demands.
We serve brand-new investment consultants, established RIAs, and personal fund advisers, both in the U.S. and globally. Allow's encounter it: It can be frustrating to understand and apply SEC conformity demands that specify to your business and include them right into your RIA conformity program.
We comprehend that each consultant is special, and we take the time to pay attention to your individual circumstance to make certain we use the compliance needs in a practical way that fits your requirements. SCS will act as an expansion of your compliance team throughout the year and give endless consulting assistance.
We are right here to lift these customers up and provide our proficiency to make their compliance programs seamless and much less lengthy. We after that strip away any type of techniques and regulations that are not relevant to your firm and record an annual testimonial tailored to your company.
This outsourced Core Compliance Solution Package is for newly-registered advisers, consultants switching from sec compliance outreach program to State enrollment or vice versa, and excluded coverage consultants switching over to SEC and vice versa. Our customers utilize various strategies on both a optional and non-discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Revenue, Private Equity, and Future Dealings.
