SEC Compliance Solutions
We’re Here to Help You Navigate the SEC’s Rules
Our Approach to Complying
Simplify. Streamline. Keep it Practical.
Complying with SEC rules does NOT need to be complicated. We make compliance programs effective, efficient, and easy!
Our number one goal is to HELP. We listen carefully in order to learn and thoroughly understand your challenges and pain points as CCO and the unique structure of your firm so that we can strip away the irrelevant SEC requirements and provide practical solutions for adhering to the relevant ones. Our customized, practical approach simplifies your compliance processes, streamlines your annual review, reduces the risk of compliance errors, and paves the way for a successful SEC examination.
Educating you and ensuring your understanding is imperative to us. We keep you abreast of regulatory changes and industry trends, communicate the potential impact on your firm, and always help implement any required or suggested changes.We explain the “why” behind our recommendations and provide references to support our guidance.
We are energized by the challenge of staying on top of new regulations, especially the nuances and exceptions that come about through SEC exams, No-Action Letters, IM Guidance Statements, Risk Alerts, SEC Staff Responses to Questions, and Enforcement Cases, as well as from working with the individual circumstances of hundreds of clients. When circumstances arise that we are unfamiliar with, we are eager to do the research, make phone calls to the SEC, and whatever else is needed for resolution. We collect and assimilate information from those sources to apply the rules in ways that are logical and practical for YOUR firm.
Our Culture & Philosophy
When we first started SEC Compliance Solutions, we wanted to build a culture in line with who we were as individuals—our values and beliefs—and we took a unique approach.
Instead of a business plan, we developed a Life Plan, based on the book Living Forward, by Daniel Harkavy and Michael Hyatt. We began by writing our desired firm legacy, considering, “What do we want to leave behind?” and “What impact do we want to make?” We identified the essential elements of our business—colleagues, clients, and sustainability, for example—ordered them by priority and developed our vision, purpose, commitments, and goals for each category. On a quarterly basis, we revisit this living, breathing document to evaluate how we’re doing and identify goals for the upcoming quarter.
One of our core beliefs is that there are no boundaries between work and personal lives—that colleagues and clients are whole people—and that while the work we do is important—people are what matter most.
Our Life Plan is based on cultivating authentic, interpersonal, long-lasting relationships based on trust, accountability, punctuality, open communication, and high-quality work and committing to being ourselves and getting to know clients and colleagues on a personal level so that we can meet them exactly where they’re at and support them as a whole. We learn the way our investment advisor clients communicate, the way they prefer to learn, what their challenges are, and how we can best support them in their role as CCO.
Sure, we “do compliance,” but at SEC Compliance Solutions, it’s so much more than that.
To support the finance industry with integrity, accountability, and practicality.