Erica Hammericksen Bio-- SEC Conformity Solutions LLC

Gretchen began her compliance trip in 2015, operating in the business development, administrative, and conformity divisions for an institutional financial investment consulting company. Ashland Allies & Firm, LLP developed a new department-- Ashland Compliance Team-- in feedback to the fostering of Rule 206( 4 )-7 of the Financial Investment Advisers Act of 1940: the Compliance Regulation. When you sign up as a financial investment adviser, you are immediately subject to a plethora of governing demands and strained by the expectation to be in conformity, also when you are unfamiliar with them.

This outsourced service is for newly-registered consultants, advisors changing from sec reporting requirements for otc companies to State enrollment or the other way around, and exempt reporting advisers switching to SEC and vice versa. Our compliance solutions are here to alleviate your conformity burden, streamline your procedure, and sustain your understanding of governing needs.

This service is for currently registered Investment Advisers who are aiming to simplify their conformity program and outsource their Annual Conformity Evaluation. Recognizing that you will not get a bill every time you call, opens the door to a consistent circulation of honest communication with our specialists and permits us to be reliable in sustaining your RIA compliance requirements.

We understand that each consultant is distinct, and we take the time to listen to your individual situation to make sure we apply the conformity needs in a functional way that fits your needs. SCS will certainly serve as an expansion of your conformity team throughout the year and provide unlimited consulting support.

We are right here to raise these clients up and use our expertise to make their compliance programs seamless and much less time-consuming. We after that strip away any kind of techniques and regulations that are not applicable to your company and document a yearly evaluation personalized to your company.

Our Yearly Conformity Evaluation Core Solution Bundle for signed up consultants will certainly assist ensure your compliance develops with your company and the market. We take our experience of working with a selection of signed up investment advisers and share what we have discovered to aid you enhance your procedures and trouble address any kind of compliance intricacies you encounter.