Prior to taking on investor and/or institutional clients, our team runs a conflict review to ensure our review is conducted at arms length. We do not manage assets, perform investment analysis or recommend funds based on investment performance. As such, our team is never faced with the conflict of performing due diligence on its own work. Independence is the single, most important element of the due diligence and compliance process.
Our staff has years of SEC and FINRA experience. We’ve conducted thousands of examinations and have evaluated the compliance controls of all types of firms from specialty boutiques and proprietorships to the largest complexes offering every product and service imaginable. We stay attuned to the Commission’s ever-changing examination and enforcement initiatives.
Our staff has worked for some of the largest investment managers and complexes in the country, serving in both compliance and legal capacities. Additionally, our professionals are frequent speakers at industry conferences and are often quoted in industry publications.
Economies of Scale
Our experience and wealth of resources enable you to receive budget-conscious, premium services without detracting from your primary business of investing. Hiring SEC3 is more cost effective than hiring additional internal compliance and/or due diligence staff.
We stay connected and informed. Our involvement in professional associations complements our awareness of trends and future shifts in regulation from new rules and interpretations, to new investment products and services.
Give Us A Call
SEC3 / CCO3 has offices in New York City and Miami, with consulting professionals located across the United States. Our professional staff are recognized experts and are routinely quoted in the financial press and speak at various industry events.