COMPANY OVERVIEW
Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
Services
Our consulting professionals provide services in Registration, Compliance Partnership, Mock Audits, Outsourced CCO, and Independent Compliance Consultant services.
Recognized Industry Leader
SEC3
is a recognized industry leader providing independent regulatory and compliance services.
We offer a full suite of compliance and regulatory services to hedge fund, private equity and real estate managers and other advisers as well as investment companies and broker-dealers.
CCO3
is a leading provider of Chief Compliance Officer outsourcing.
Our outsourced CCO solution provides a highly qualified named CCO supported by a team of experienced professionals. The result? Company directors and trustees feel confident that regulatory liability is expertly managed.
Why Choose Us
“Responsive, knowledgeable and offering practical solutions.”
— Private fund adviser
Client since 2017
Independence
Who reviews the CCO? This is a question the regulators will ask. We help add a layer of independence to your compliance program by independently reviewing areas of your business to provide the needed checks and balances.
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.
Industry Experience
Our staff has worked for some of the largest and complex investment managers and platforms in the country, having served in compliance, legal and operations. Additionally, our professionals are frequent speakers at industry conferences and are often quoted in industry publications.
Economies of Scale
We focus on creating manageable compliance workflows. 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 often more cost effective than hiring additional internal compliance.