SEC Compliance Solutions

We Help Streamline Your RIA Compliance Program

SEC Compliance Solutions helps new investment advisers, established RIAs, and private fund advisers streamline their compliance program. The SEC makes the rules; we make it easy for RIAs to apply them.

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Services

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.

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Annual Compliance Review

Simplify SEC compliance. Embrace simplified policies, streamlined procedures, minimized risk of oversights, and an organized and methodical annual review.

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Mock SEC Exam

Comply with confidence. Reveal potential areas for improvement; receive the necessary education and resources to strengthen them; and prepare your employees for interacting with SEC staff.

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Compliance Blog


2022 Division Exam Priorities
2022 Division Exam Priorities

May 03, 2022

Main Contributor: Gretchen Sturdivan, CSCP Creative Director & Client Service Manager Hindsight is 2021 It remains an annual highlight to read through the Division of Examinations’ (“Division”) Exam priorities, as we comb through what they deem to be significant focus areas and adjust our compliance programs accordingly. The Division provides Risk Alerts throughout the yearRead More »

The SEC Proposes Two New Rules
The SEC Proposes Two New Rules

April 08, 2022

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant   Background The first quarter is always a busy time for investment advisors.  This year, the SEC was busy too, releasing two new proposed rules, Cybersecurity Risk Management  and Requirements for Private Fund Advisers . It’s important to remember that a proposed rule can takeRead More »