Gretchen Sturdivan Biography-- SEC Compliance Solutions LLC

Gretchen started her compliance journey in 2015, operating in business growth, management, and compliance divisions for an institutional financial investment consulting company. Ashland Allies & Business, LLP developed a new division-- Ashland Compliance Group-- in feedback to the adoption of Rule 206( 4 )-7 of the Financial Investment Advisers Act of 1940: the Compliance Policy. When you register as a financial investment advisor, you are immediately subject to a wide range of governing needs and burdened by the expectation to be in compliance, also when you are unfamiliar with them.

The Mock SEC Exam can likewise function as the annual evaluation for your firm. Start with a streamlined compliance program that conserves you time, day in day out, year after year, and delight in processes that are simple to adhere to and plans that are easy to understand, assess, and update yearly.

This service is for presently registered Investment Advisers who are looking to improve their conformity program and outsource their Yearly Compliance Review. Recognizing that you will not get an expense each time you call, opens the door to a consistent flow of straightforward communication with our specialists and enables us to be effective in supporting your RIA conformity needs.

We recognize that each adviser is unique, and we put in the time to pay attention to your individual scenario to make certain we apply the conformity needs in a useful manner in which fits your demands. SCS will work as an expansion of your conformity team throughout the year and offer unlimited consulting assistance.

We likewise share the experience of consultants that the elizabeth cope sec compliance solutions has actually examined since they signed up to help you far better prepare your company for an SEC exam. As the founder and the CCO of her brand-new company, our customer came to us because she was putting on numerous hats, jugging the important aspects of setting up a new business while navigating the nuances of compliance.

This contracted out Core Compliance Service Bundle is for newly-registered consultants, advisors changing from SEC to State registration or the other way around, and excluded reporting advisors switching over to SEC and the other way around. Our clients employ different approaches on both a non-discretionary and discretionary basis, such as United State Equity, Foreign Equity, Fixed Earnings, Private Equity, and Future Dealings.