ICC (Independent Compliance Consultant Services)

See What We Can Do

Eliminate the Hassle of Compliance

Minimize the stress and challenges of regulatory concerns.

What We Do

We provide Independent Compliance Consultant (“ICC”) services to firms to address SEC enforcement proceeding ICC mandates. As ex-regulators, we have great working relationships with the staff, and we work to help firms through this process with the least amount of struggle as possible. We manage regulatory requirements and suggest sensible operational solutions to address areas of regulatory concern. We know what the regulators expect and how to address the concerns with sensible solutions that improve your overall business operations.

“When you partner with a third party CCO, you need to know they are accountable and informed. We were highly selective through this process, and ultimately chose SEC³ because we felt secure their team would be proactive and ensure that we had a compliance program that would meet investor and regulator expectations. Not only have they done this, but our companies and staff, together, operate as a team.”

ETF Manager

Client Since 2018

Our Process

We customize your engagement based on the scope and timing set forth in the SEC Order.