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.
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.
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!
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.