Erica Hammericksen Biography-- SEC Conformity Solutions LLC

sec compliance outreach program Compliance Solutions companions with brand-new financial investment advisers, established RIAs, and personal fund advisers. She felt the New Consultant Configuration service was worth every cent to have the support and knowledge close to her, reducing anxiety and helping her concentrate on the aspects of her firm that highlighted her toughness and reminded her of why she began her firm to begin with.

The Mock SEC Exam can additionally function as the yearly evaluation for your firm. Start with a streamlined conformity program that conserves you time, day in day out, time after time, and delight in procedures that are very easy to follow and plans that are understandable, evaluate, and upgrade annually.

This service is for presently registered Investment Advisers who are aiming to simplify their compliance program and outsource their Yearly Conformity Testimonial. Knowing that you will certainly not obtain a bill every time you call, opens the door to a continuous flow of straightforward communication with our experts and allows us to be effective in supporting your RIA compliance needs.

We comprehend that each consultant is one-of-a-kind, and we put in the time to pay attention to your individual scenario to ensure we apply the compliance needs in a practical way that fits your requirements. SCS will function as an expansion of your compliance team throughout the year and offer unlimited consulting support.

We are right here to raise these customers up and offer our knowledge to make their conformity programs seamless and much less time-consuming. We after that remove any kind of techniques and rules that are not applicable to your company and record an annual review personalized to your company.

This contracted out Core Compliance Solution Bundle is for newly-registered consultants, advisers switching over from SEC to State registration or the other way around, and exempt coverage consultants changing to SEC and the other way around. Our customers use different methods on both a non-discretionary and discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Earnings, Exclusive Equity, and Future Dealings.