Gretchen Sturdivan Biography-- SEC Conformity Solutions LLC

SEC Compliance Solutions partners with new financial investment advisers, established RIAs, and private fund advisers. She really felt the New Adviser Arrangement service deserved every cent to have the assistance and know-how beside her, decreasing anxiety and assisting her concentrate on the aspects of her company that highlighted her staminas and reminded her of why she started her firm in the first place.

This outsourced service is for newly-registered advisors, consultants changing from SEC to State enrollment or the other way around, and excluded coverage consultants changing to SEC and vice versa. Our compliance services are here to relieve your compliance worry, simplify your procedure, and sustain your understanding of regulative requirements.

This solution is for presently signed up Investment Advisers who are looking to enhance their conformity program and outsource their Yearly Conformity Evaluation. Knowing that you will certainly not get a costs every time you call, unlocks to a constant flow of honest interaction with our professionals and enables us to be efficient in sustaining your RIA conformity requirements.

We comprehend that each adviser is distinct, and we make the effort to listen to your private circumstance to ensure we apply the conformity demands in a practical manner in which fits your requirements. SCS will function as an extension of your compliance group throughout the year and offer unrestricted consulting assistance.

We are here to lift these clients up and use our experience to make their compliance programs seamless and much less lengthy. We after that strip away any kind of practices and policies that are not appropriate to your firm and document an annual review customized to your firm.

This outsourced Core Compliance Solution Bundle is for newly-registered consultants, advisors changing from SEC to State registration or the other way around, and exempt reporting advisers switching to SEC and the other way around. Our customers employ different techniques on both a non-discretionary and discretionary basis, such as United State Equity, Foreign Equity, Fixed Revenue, Exclusive Equity, and Future Dealings.