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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