Katie Mogan Biography-- SEC Compliance Solutions LLC

SEC Compliance Solutions companions with new investment consultants, developed RIAs, and private fund consultants. She really felt the New Adviser Configuration solution deserved every dime to have the assistance and expertise beside her, reducing stress and helping her concentrate on the aspects of her firm that highlighted her toughness and advised her of why she started her company in the first place.

The Mock SEC Exam can additionally work as the annual review for your firm. Start with a simplified compliance program that conserves you time, every day, year after year, and take pleasure in procedures that are simple to comply with and policies that are easy to understand, evaluate, and update every year.

This solution is for currently registered Financial investment Advisers who are looking to simplify their conformity program and outsource their Annual Conformity Review. Understanding that you will not get a bill each time you call, opens the door to a constant circulation of honest interaction with our experts and permits us to be efficient in sustaining your RIA compliance needs.

The physical arrangement of her company was stressful and so tough, she was having a hard time to find the moment to implement any type of conformity requirements. We consist of three months of post-exam consulting to assist correct and make any kind of updates to your compliance program, to make sure that you can leave really feeling ready, refreshed, and confident.

We also share the experience of advisors that the SEC has checked out because they signed up to assist you far better prepare your company for an sec compliance program guidance exam. As the owner and the CCO of her brand-new company, our customer involved us because she was wearing multiple hats, jugging the necessary elements of establishing a brand-new business while navigating the nuances of conformity.

This outsourced Core Conformity Solution Package is for newly-registered consultants, advisers switching over from SEC to State enrollment or the other way around, and excluded coverage advisers switching to SEC and the other way around. Our customers employ numerous strategies on both a non-discretionary and discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Revenue, Personal Equity, and Future Dealings.