Services Overview

Home Services

Services

Since 2003, our team has been providing expert compliance consulting services to the financial services industry. We take pride in maintaining our client relationships and delivering the highest levels of service. Our client base includes some of the most respected names in the financial services industry and ranges from large international firms to small firms with only a few key people. Our satisfied clients include advisers, institutional investors, directors, private funds, investment companies, and broker-dealers.

Our service offering includes compliance consulting, hedge fund operational due diligence, and expert training.

Compliance Consulting and Registration Services

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.

Outsourced Chief Compliance Officer

Our outsourced CCO solution provides a highly qualified named CCO supported by a team of experienced professionals. Our CCO support team includes ex- SEC examiners, securities attorneys, qualified accountants, CFA’s and professionals who have served as trustees and directors.

Training

SEC3 provides customized training to SEC, NFA and FINRA registrants . In each instance we design training modules with the goal of delivering efficient, high-impact sessions. We ensure content is delivered in such a way as to be appropriate to each group’s operational functionality and workflow. We can provide training through various means including in-person sessions, by teleconference and through online webinars. Each training module can be solely instructor lead or interactive where each participant has the ability to ask questions. We have provided hour long training sessions led by one instructor and we have provided multi-day training led by a group of instructors.

SEC Enforcement - Independent Compliance Consultant

Many SEC enforcement cases result in orders or settlements where the subject (for example, an adviser, fund or broker dealer) is required to timely retain the services of an independent compliance consultant (the “Independent Consultant” or “ICC”) that is acceptable to regulators. These subject firms must engage an Independent Consultant to conduct an independent review depending on the details of the order or settlement.