When: February 27, 2023 – March 2, 2023
Where: Orlando World Center Marriott – Orlando, FL
SEC3 will be sponsoring Orion’s National Ascent 2023 Conference in Orlando, FL.
Orion Compliance is an end-to-end compliance management solution built upon an always audit-ready reporting infrastructure. The cloud-based software platform provides core compliance functions, personal trading and insider trading solutions for firms. SEC3 has partnered with Orion Compliance to streamline the management of its clients’ compliance programs and exam readiness efforts.
Please stop by to discuss any regulatory matters impacting your firm and learn how SEC3 can effectively manage your firm’s compliance program through the use of Orion Compliance.
Register Here
For over two decades, we have been providing compliance consulting services and servicing as outsourced Chief Compliance Officers. Our professionals have served as SEC regulators and in senior leadership, guiding the industry’s principal compliance association. Our consultants also have hands-on industry experience as chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
What can SEC3 do for you?
SEC3 offers an extensive suite of customizable compliance services for investment advisers, private fund advisers, CPOs, CTAs, investment companies, institutional investors and broker-dealers which can complement your internal compliance program on a one-time or recurring basis depending on your needs.
Call us today at (212) 706-4029 x 229, or shoot us an email at info@SEC3compliance.com so we can set up a time for one of our consultants to discuss your needs and how we can help.
