Erica Hammericksen Biography-- SEC Conformity Solutions LLC

SEC Conformity Solutions partners with new investment advisers, established RIAs, and private fund advisers. She really felt the New Consultant Setup solution deserved every cent to have the support and experience close to her, lowering anxiety and helping her concentrate on the elements of her firm that highlighted her toughness and advised her of why she began her firm in the first place.

This outsourced solution is for newly-registered advisors, consultants switching from sec regulatory requirements to State enrollment or the other way around, and excluded coverage advisors changing to SEC and the other way around. Our compliance services are below to alleviate your compliance burden, streamline your procedure, and support your understanding of governing requirements.

This service is for currently registered Financial investment Advisers who are seeking to streamline their conformity program and outsource their Annual Conformity Testimonial. Knowing that you will certainly not obtain a costs each time you call, unlocks to a continuous circulation of sincere interaction with our consultants and permits us to be effective in supporting your RIA compliance demands.

We comprehend that each adviser is one-of-a-kind, and we put in the time to listen to your individual scenario to see to it we apply the conformity requirements in a practical way that fits your demands. SCS will certainly serve as an expansion of your compliance team throughout the year and offer endless consulting support.

We also share the experience of advisors that the SEC has actually analyzed given that they registered to help you better prepare your firm for an SEC exam. As the owner and the CCO of her new firm, our client concerned us since she was putting on multiple hats, jugging the necessary elements of setting up a new service while navigating the subtleties of conformity.

Our Annual Compliance Review Core Service Bundle for registered advisers will assist guarantee your conformity evolves with your firm and the sector. We take our experience of working with a selection of signed up investment advisors and share what we have actually learned to assist you enhance your processes and problem address any type of compliance complexities you encounter.