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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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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NSCP National Conference 2020
Oct 19
NSCP National Conference 2020
October 19, 2020

October 19-21, 2020 – Baltimore, MD Read More »

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Compliance Blog

Key Take-Aways from Recent Industry Conferences: Senior Investors & Private Funds

May 08, 2019

  We wanted to share with you the common themes we’ve observed among the recent industry conferences we attended.  Let us know if we can help you with any of these topics. Senior Investors It was discussed that the SEC views senior investors as the most vulnerable investor group and considers it the investment advisers’Read More »

Compliant Advertising: Breaking it Down – Part 1: The Foundation

April 29, 2019

The topic of Advertising is one of the most challenging areas for CCOs.  The challenge begins with the SEC’s definition of “advertisement.”  It’s confusing and outdated. The way that the rule is written makes you feel like you have to run through a flow chart of questions every time you write something, meet with someone,Read More »