The SEC3 Advantage

Independence: Prior to taking on investor and/or institutional clients, SEC3 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, SEC3 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.

Regulatory Experience: 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.

Industry Experience: Our staff has worked for some of the largest investment managers and mutual fund 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.

Resources: 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.