Erica Hammericksen Bio-- SEC Conformity Solutions LLC

SEC Conformity Solutions partners with new investment advisers, developed RIAs, and private fund advisors. She felt the New Consultant Configuration service was worth every cent to have the support and proficiency close to her, decreasing stress and assisting her concentrate on the components of her company that highlighted her toughness and reminded her of why she started her firm in the first place.

This outsourced service is for newly-registered advisors, advisers changing from SEC to State registration or the other way around, and exempt coverage advisors switching to SEC and vice versa. Our conformity services are below to reduce your compliance burden, streamline your procedure, and sustain your understanding of governing demands.

This service is for presently registered Investment Advisers who are seeking to streamline their compliance program and outsource their Annual Conformity Testimonial. Understanding that you will certainly not get a bill whenever you call, unlocks to a constant circulation of sincere communication with our professionals and permits us to be effective in supporting your RIA conformity requirements.

The physical arrangement of her firm was so arduous and demanding, she was battling to locate the time to implement any conformity demands. We consist of three months of post-exam consulting to help remedy and make any type of updates to your conformity program, to make sure that you can leave really feeling ready, rejuvenated, and certain.

We additionally share the experience of advisors that the sec compliance program rule has actually analyzed given that they signed up to help you better prepare your company for an SEC exam. As the creator and the CCO of her new firm, our client pertained to us due to the fact that she was using numerous hats, jugging the essential aspects of establishing a brand-new business while browsing the nuances of compliance.

This contracted out Core Conformity Solution Plan is for newly-registered advisers, advisors switching from SEC to State registration or the other way around, and exempt reporting advisers changing to SEC and vice versa. Our customers utilize numerous methods on both a non-discretionary and optional basis, such as U.S. Equity, Foreign Equity, Fixed Revenue, Exclusive Equity, and Future Dealings.