Compliance Partnership

See What We Can Do

A Partner You Can Trust

We are an extension of your firm.

What We Do

As your partner, we develop a manageable and effective compliance partnership. The compliance program will be straightforward, understandable, and transparent. We want you, as well as your clients, investors, and regulators to feel confident and rest assured that your compliance program is both robust and effective.

“SEC³ has been helping us since 2004 by conducting quarterly testing and maintaining our compliance program. Very few firms get through a SEC exam without any deficiencies. We are happy to share that we did! Our clean exam is a shared success. We picked the right consulting firm to partner with and SEC³ gets the job done.”

Hedge Fund Adviser NYC

Client Since 2004

Compliance Partnership Offerings

  Tailored Compliance Support Chief Compliance Officer Support Outsourced Chief Compliance Officer
Annual 206(4)-7 Review Check Check Check
Annual Compliance Manual Review and Updates Check Check Check
Annual Form ADV Amendment Check Check Check
Annual Compliance Training Check Check Check
Regulatory Filings(Form PF, Section 13 Filings, etc. Check Check Check
Regulatory Scheduled Meetings   Check Check
Annual Risk Assessment   Check Check
Code of Ethics Review (Orion Compliance required)   Check Check
Electronic Communications Review   Check Check
Marketing Review   Check Check
Compliance Program Calendar   Check Check
Quarterly Compliance Committee Meetings   Check Check
SEC Exam Assistance   Check Check
Outsourced Chief Compliance Officer     Check

* Tailored Compliance Support Partnership can be customized based on your firm’s needs.