Erica Hammericksen Biography-- SEC Compliance Solutions LLC

Gretchen began her conformity trip in 2015, operating in business growth, management, and compliance divisions for an institutional investment consulting firm. Ashland Partners & Company, LLP formed a new department-- Ashland Compliance Team-- in reaction to the fostering of Guideline 206( 4 )-7 of the Investment Advisers Act of 1940: the Conformity Rule. When you register as a financial investment consultant, you are quickly based on a wide range of regulative needs and burdened by the expectation to be in compliance, even when you are not familiar with them.

The Mock SEC Test can also function as the annual review for your firm. Start out with a streamlined conformity program that conserves you time, day in day out, year after year, and enjoy procedures that are easy to adhere to and plans that are understandable, review, and update annually.

We serve new financial investment consultants, established RIAs, and exclusive fund consultants, both in the united state and globally. Allow's face it: It can be frustrating to apply and recognize SEC conformity requirements that are specific to your organization and integrate them right into your RIA compliance program.

The physical arrangement of her firm was so tough and demanding, she was having a hard time to find the time to carry out any conformity needs. We include three months of post-exam consulting to help correct and make any updates to your conformity program, so that you can leave feeling prepared, freshened, and certain.

We likewise share the experience of advisors that the SEC has examined given that they signed up to aid you much better prepare your firm for an SEC examination. As the founder and the CCO of her new company, our client concerned us due to the fact that she was wearing multiple hats, jugging the crucial facets of setting up a brand-new organization while browsing the subtleties of conformity.

This contracted out Core Compliance Solution Bundle is for newly-registered advisers, advisers switching from sec reporting requirements cybersecurity to State enrollment or vice versa, and excluded reporting consultants switching to SEC and vice versa. Our customers use different strategies on both a discretionary and non-discretionary basis, such as United State Equity, Foreign Equity, Fixed Income, Exclusive Equity, and Future Contracts.