Services

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Services

Professional Engagement

We understand that compliance obligations of the Securities and Exchange Commission are significant and unique for each firm. We customize all client engagements based on your compliance needs.

Registration

At SEC³, we understand what SEC, NFA and FINRA regulators and investors expect from a compliance program and firm operations. We also understand that, because of the unique characteristics of your firm and your clients, an off-the-shelf compliance program is not likely to meet all of those expectations.

We offer 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.

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Compliance Partnership

We build long-lasting compliance support partnerships with our clients. We want our clients to view SEC³ as a business partner with unique and clearly defined responsibilities. In addition to always being on-call to address ad-hoc concerns as they arise, we schedule regular compliance calls with you and follow well-defined reporting schedules. We want our clients to feel as if our consultants are an extension of their firms. How are we different? Clients can call and text at any time!

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Mock Audits

We are dedicated to ensuring that you are prepared for the inevitable regulatory examination. Our team takes a proactive approach in evaluating your current compliance program in order to meet SEC exam priorities and ongoing obligations. We not only provide our professional expertise and years of exam experience, but we also provide a tailored remediation solution when necessary to ensure peace of mind for your next examination.

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Outsourced Chief Compliance Officer

Key elements for an outsourced CCO to be effective.
  • Compliance culture, provides access and support for compliance efforts.
  • CCO is versed in regulatory requirements and the firm’s business.
  • Parties maintain open communication, build strong relationships.
  • CCO has authority to influence adherence with policies and procedures.
  • Compliance program reasonably designed to prevent, detect, and address violations.
  • The compliance program is proactive.
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ICC (Independent Compliance Consultant Services)

Regulators and firms involved in enforcement proceedings often rely on us to serve as the independent compliance consultant approved to assist with oversight and remediation. From time to time, firms may be required by regulators to hire an Independent Compliance Consultant to review and test policies and procedures and to make recommendations to improve their compliance program or to perform annual reviews of the firm.
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People We've Worked With

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