Compliance. Simplified.
We’ve Got You Covered.
We Help Streamline Your RIA Compliance Program
SEC Compliance Solutions partners with new investment advisers, established RIAs, and private fund advisers.
Our compliance solutions are here to ease your compliance burden, simplify your process, and support your understanding of regulatory requirements.
The regulators make the rules; we make it easy for you to apply them.
Receive our free eBook on “Compliant Marketing”
Our new eBook walks you through crucial elements of the new marketing rule to facilitate your understanding and prepare your firm for implementation before the compliance deadline of November 4, 2022.
New
Adviser
Setup
Build a compliant foundation.
Get accurately registered, educated on the rules specific to your business, and achieve practical and fully compliant policies and procedures.
Mock
SEC
Exam
Comply with confidence.
Reveal areas for improvement, receive the necessary education and resources to strengthen gaps, and prepare employees for interactions with SEC staff.
Annual
Compliance Review
Simplify SEC compliance.
Embrace practical policies, streamlined procedures, and an organized, methodical annual review with full support from your SCS team.
“Many service providers I have worked with added complexity and additional workload to our compliance program, but not SCS. They are a true partner that makes my life and the lives of my employees easier. I often think my biggest mistake as a stakeholder was not partnering with them sooner.”
- Chad Cook, Old West Investment Management, LLC
About Us
We’ve got you covered. When you partner with us, you will hire a wealth of RIA compliance experience that comes from working with a variety of investment advisers. Our compliance consultants have the knowledge and expertise to get you compliant quickly, streamline your efforts, save you time, and help you sleep at night - at a fraction of the price of hiring internally.
Featured Resources
Training Video: Common Contract Mistakes for RIAs