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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.

“SEC3 guided us through our initial registration and has on a quarterly basis, been assisting with our compliance program. Since registration with the SEC, we have introduced new private funds and co-investment vehicles in a number of jurisdictions and SEC3 has taken the time to thoroughly understand our business, conflicts of interest and processes. They have been instrumental in ensuring our disclosures are kept up to date, which makes our ADV updates straightforward.”

— Private Equity Manager

Client Since 2012

Compliance Partnership

“SEC3 has been helping us since 2004 by conducting quarterly testing and maintaining our compliance program. Very few firms get through a SEC exam without any deficiencies. We are happy to share that we did! Our clean exam is a shared success. We picked the right consulting firm to partner with and SEC3 gets the job done.”

— Hedge Fund Adviser NYC

Client Since 2004

“Our firm began working with SEC3 after switching from a larger compliance firm. At the larger firm, we were not be treated as an important client. Since our move, it has been a pleasure to work with SEC3. They have been assisting with monthly testing and documentation.”

— Hedge Fund & Separate Account Adviser

Client Since 2015

Mock Audits

“We have used SEC3 over the years to supplement the work of our in house compliance staff by conducting periodic mock reviews. In the past, we have used other consultants so we know the firms in the field and we have high expectations for service. We keep going back to SEC3.”

— Private Equity Manager

Client Since 2012

Outsourced Chief Compliance Officer

Key elements for an outsourced CCO to be effective.

  • – Compliance culture, provides access and support for compliance efforts.
  • – CCO is versed in regulatory requirements and the firm’s business.
  • – Parties maintain open communication, build strong relationships.
  • – CCO has authority to influence adherence with policies and procedures.
  • – Compliance program reasonably designed to prevent, detect, and address violations.
  • – The compliance program is proactive.

“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

ICC (Independent Compliance Consultant Services)

Regulators and firms involved in enforcement proceedings often rely on us to serve as the independent compliance consultant approved to assist with oversight and remediation. From time to time, firms may be required by regulators to hire an Independent Compliance Consultant to review and test policies and procedures and to make recommendations to improve their compliance program or to perform annual reviews of the firm.

SEC Compliance Consultants provides 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.