Erica Hammericksen Biography-- SEC Compliance Solutions LLC

SEC Compliance Solutions partners with brand-new financial investment consultants, developed RIAs, and private fund advisors. She felt the New Consultant Configuration solution was worth every penny to have the assistance and proficiency beside her, lowering stress and anxiety and aiding her focus on the aspects of her company that highlighted her strengths and advised her of why she started her company to begin with.

The Mock SEC Exam can additionally serve as the yearly evaluation for your firm. Start with a simplified compliance program that conserves you time, day after day, every year, and delight in processes that are easy to follow and plans that are easy to understand, review, and update every year.

We offer new investment advisors, developed RIAs, and personal fund advisers, both in the U.S. and globally. Allow's encounter it: It can be overwhelming to comprehend and apply elizabeth cope sec compliance solutions conformity needs that specify to your organization and incorporate them into your RIA compliance program.

The physical configuration of her company was demanding and so tough, she was battling to discover the time to apply any kind of compliance needs. We include 3 months of post-exam consulting to help correct and make any kind of updates to your compliance program, to make sure that you can leave really feeling prepared, freshened, and certain.

We additionally share the experience of advisors that the SEC has actually checked out considering that they signed up to help you much better prepare your firm for an SEC examination. As the creator and the CCO of her new firm, our client pertained to us since she was putting on multiple hats, jugging the essential elements of setting up a brand-new service while browsing the subtleties of compliance.

This contracted out Core Compliance Solution Package is for newly-registered consultants, advisors switching from SEC to State registration or vice versa, and excluded reporting advisors switching over to SEC and vice versa. Our customers employ different strategies on both a discretionary and non-discretionary basis, such as U.S. Equity, Foreign Equity, Fixed Revenue, Private Equity, and Future Contracts.