Gretchen Sturdivan Biography-- SEC Compliance Solutions LLC

Gretchen started her compliance journey in 2015, working in business advancement, administrative, and conformity departments for an institutional financial investment consulting firm. Ashland Partners & Company, LLP formed a new department-- Ashland Compliance Team-- in reaction to the adoption of Rule 206( 4 )-7 of the Investment Advisers Act of 1940: the Compliance Policy. When you sign up as an investment consultant, you are quickly based on a multitude of governing demands and strained by the assumption to be in conformity, even when you are not familiar with them.

The Mock SEC Test can likewise work as the yearly testimonial for your firm. Start out with a streamlined compliance program that saves you time, day in day out, time after time, and delight in processes that are simple to follow and plans that are easy to understand, examine, and upgrade yearly.

This solution is for currently registered Financial investment Advisers that are seeking to simplify their conformity program and outsource their Annual Conformity Review. Recognizing that you will not get a costs every single time you call, opens the door to a constant circulation of straightforward interaction with our specialists and allows us to be effective in sustaining your RIA compliance demands.

The physical setup of her firm was demanding and so tough, she was struggling to find the moment to apply any type of compliance requirements. We consist of 3 months of post-exam consulting to help fix and make any kind of updates to your compliance program, so that you can walk away really feeling prepared, freshened, and confident.

We are below to raise these clients up and offer our knowledge to make their compliance programs smooth and less lengthy. We after that strip away any type of techniques and policies that are not applicable to your company and document an annual testimonial customized to your firm.

This contracted out Core Conformity Service Plan is for newly-registered advisors, consultants switching from sec reporting requirements Cybersecurity to State registration or the other way around, and excluded coverage advisors changing to SEC and the other way around. Our clients employ different strategies on both a non-discretionary and discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Revenue, Private Equity, and Future Dealings.