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.

Learn More »

Annual Compliance Review

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

Learn More »

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.

Learn More »

Events

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

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

All Events »

Compliance Blog


5 Tips to Simplify a CCO’s Heavy Workload
5 Tips to Simplify a CCO’s Heavy Workload

April 03, 2019

    In all of my experience, working with CCOs as a compliance consultant, the one common sentiment they share is overwhelm.  Especially those who wear multiple hats (which is most of the CCOs I work with). If that’s you, you probably ask yourself, “How do I fit all of this in?!” In first quarter,Read More »

Overcoming the Challenges of SEC Compliance around Electronic Messaging
Overcoming the Challenges of SEC Compliance around Electronic Messaging

March 01, 2019

  Did you see the SEC’s Risk Alert on Electronic Messaging? We did!  And let us start by saying, this Risk Alert was actually really helpful! A lot of times, the SEC issues Risk Alerts that tell you the issues they’re seeing in recent SEC examinations and remind you of your compliance obligations, but theyRead More »