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.

Meet the Team

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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Events

NSCP National Conference 2021
Nov 08
NSCP National Conference 2021
November 08, 2021

November 8-10, 2021 – National Harbor, MD Read More »

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Compliance Blog


Exam Findings for Private Funds

July 06, 2020

The SEC issued a risk alert on June 23rd that provides a summary of the results the staff discovered when conducting exams of investment advisors that manage private funds. If you are an advisor to private funds (all types including private equity) or plan to be, we highly recommend you read through this article toRead More »

Compliance During the Pandemic
Compliance During the Pandemic

June 02, 2020

We have settled into work from home life and found a (somewhat) new normal of work during the pandemic. When the dust settles, we expect the SEC to focus on areas such as business continuity and supervision of employees during the pandemic. We also wouldn’t be surprised if the SEC conducts sweep exams of pandemicRead More »