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 2022
Oct 17
NSCP National Conference 2022
October 17, 2022

October 17-19, 2022 – National Harbor, MD Read More »

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Compliance Blog


2021 RIA Compliance Calendar & Filing Deadlines
2021 RIA Compliance Calendar & Filing Deadlines

January 05, 2021

Don’t miss a compliance deadline this year!  We have put together a calendar to help you keep track of regulatory filing deadlines for 2021.  You might want to bookmark this one and also make sure you are on our deadline reminder list!   2021 SEC Regulatory Deadlines for Investment Advisers The filing deadlines are listedRead More »

OCIE Observations: Compliance Programs
OCIE Observations: Compliance Programs

January 04, 2021

The SEC Risk Alerts keep coming, this time with exam observations regarding investment advisors’ Compliance Programs. According to OCIE, the most common exam deficiencies arise from issues with Rule 206-4(7), known as “the Compliance Rule.” Rule 206(4)-7 requires investment advisors to have policies and procedures reasonably designed to prevent, detect, and correct violations of theRead More »