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

Resources for How to Address the SEC’s 2019 Focus Areas
Resources for How to Address the SEC’s 2019 Focus Areas

February 21, 2019

Each year, the SEC publishes their exam priorities.  This provides advisers with transparency in OCIE’s examination program and highlights areas that the SEC believes are of heightened risk. Unlike last year (when OCIE announced a focus on cryptocurrencies) there is nothing brand new this year that we haven’t seen in previous years.  It’s kind ofRead More »

Attention Advisers & Sub-Advisers to Mutual Funds and ETFs
Attention Advisers & Sub-Advisers to Mutual Funds and ETFs

February 04, 2019

Advisers to the securities listed below are on the SEC’s radar for examination.  Do you manage: an index fund that tracks custom-built indexes? a smaller ETF? an ETF with little secondary market trading volume? a fund with higher allocations to certain securitized assets? a fund that underperforms significantly relative to peer groups? a newer mutualRead More »