Erica Hammericksen Bio-- SEC Compliance Solutions LLC
Gretchen began her compliance journey in 2015, operating in business development, management, and conformity departments for an institutional investment consulting company. Ashland Partners & Company, LLP formed a new division-- Ashland Conformity Team-- in feedback to the adoption of Guideline 206( 4 )-7 of the Financial Investment Advisers Act of 1940: the Compliance Rule. When you register as a financial investment adviser, you are instantly based on a multitude of regulative needs and strained by the expectation to be in compliance, also when you are unfamiliar with them.
This outsourced service is for newly-registered consultants, advisors switching over from sec reporting requirements for private equity funds to State enrollment or vice versa, and exempt coverage consultants changing to SEC and the other way around. Our compliance remedies are below to ease your compliance burden, streamline your procedure, and sustain your understanding of governing needs.
We offer new financial investment consultants, established RIAs, and exclusive fund advisers, both in the united state and internationally. Let's face it: It can be overwhelming to apply and recognize SEC compliance demands that specify to your company and integrate them into your RIA compliance program.
We recognize that each consultant is one-of-a-kind, and we put in the time to listen to your individual circumstance to ensure we apply the conformity requirements in a practical way that fits your needs. SCS will function as an expansion of your compliance team throughout the year and provide limitless consulting assistance.
We are right here to raise these clients up and supply our experience to make their conformity programs smooth and less lengthy. We then remove any practices and guidelines that are not applicable to your firm and document a yearly evaluation tailored to your firm.
This contracted out Core Compliance Service Package is for newly-registered advisors, advisers switching over from SEC to State registration or vice versa, and exempt reporting advisers switching to SEC and the other way around. Our clients utilize different methods on both a non-discretionary and discretionary basis, such as United State Equity, Foreign Equity, Fixed Revenue, Private Equity, and Future Contracts.
