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 TeamSCS is the first (and often the only) place I turn to for help with our compliance needs. As a compliance officer who wears multiple hats, having SCS as a trusted partner gives me confidence, and their practical and timely advice helps me stay on top of the latest developments.
Scott Bilyeu, Chief Compliance Officer, Chief Financial OfficerTriangle Peak Partners, LP
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, Partner, Chief Compliance and Financial OfficerOld West Investment Management, LLC
Liz combines a deep knowledge of constantly evolving industry regulations with a practical sense of how to efficiently keep up with them. We have quickly come to trust and depend on her for advice on a broad range of compliance issues.
Barnes Ellis, loyal fan, Chief Compliance OfficerBaker Ellis Asset Management, LLC
SKBA has utilized the professionals at SCS since 2007. We have found great value in their knowledge, professional advice, and responsiveness to our ongoing compliance needs. It’s a partnership that substantially reduces the burden on SKBA in maintaining our compliance program.
Shelley Mann, Principal, Director of Trading, Chief Compliance OfficerSKBA Capital Management, LLC
SCS allows us to breathe easier knowing that an experienced compliance team is just a phone call or email away. SCS is extremely knowledgeable about our particular business and ensures we remain abreast of both existing rules and new regulations.
Steven Weiss, General Counsel & Chief Administrative OfficerThe Roosevelt Investment Group, Inc.
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.
Annual Compliance Review
Simplify SEC compliance. Embrace simplified policies, streamlined procedures, minimized risk of oversights, and an organized and methodical annual review.
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.
Compliance Blog
Risk Alert: Employee Supervision and Employing Personnel with Disciplinary Events
August 28, 2019
As part of the SEC’s focus on protecting retail investors, in 2017, they examined over 50 RIAs to assess the supervisory practices of advisers who (at the time) currently or previously employed personnel with a history of disciplinary events (the “Supervision Initiative”). Nearly all of the advisers examined received deficiency letters. The Risk Alert recentlyRead More »
Risk Alert: Common Reg S-P Deficiencies
July 22, 2019
Once again, the SEC has provided insight into exam deficiencies. This time, it’s regarding Reg S-P. Reg S-P requires, among other things, that registered investment advisers: provide customers with a copy of the Firm’s Privacy Notice initially and annually, if there are changes; provide customers with an option to opt out of personal informationRead More »