Mutual Fund Administrators

SEC Compliance Consultants, Inc. can partner with Administrators to provide expert compliance solutions to fund clients, advisers, and sub-advisers. This allows Administrators the opportunity to add another dimension to the service line by offering premium service capabilities without incurring additional overhead or transferring additional costs to fund clients.

SEC3 offers Investment Adviser and Investment Company services through Administrators, which include, but are not limited to:

• Annual Compliance Reviews
• Quarterly Compliance Reviews
• Risk Assessment and Gap Analysis
• Compliance Program Design and Implementation
• Compliance Testing and Analysis
• Compliance Training
• Customized Compliance Services