Compliance Services

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Compliance Services

At SEC3, we understand what SEC, NFA and FINRA regulators and investors expect from a compliance program and control environment. We also understand that 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.

Registration and Compliance

SEC3 offers an extensive suite of customizable, registration services with the SEC, NFA and FINRA.  Future registrants will be fully trained and ready on day one with customized policies and procedures to mitigate each risk identified and address the concerns of their various regulators as well as satisfying due diligence reviews from prospective investors.

Investment Advisers

SEC3 offers an extensive suite of customizable compliance services for investment advisers, on either a one-time or recurring basis depending on your needs.

Investment Companies

Among the challenges facing funds is the ability to maximize the compliance capabilities of limited resources while minimizing the impact to shareholders. SEC3 provides expert resources and support to fund Chief Compliance Officers and Boards to bridge the resource gap. We align our efforts with the CCO and share in the commitment to the shareholders.

SEC3 offers an extensive suite of customizable compliance services for Investment Companies, on either a one-time or recurring basis depending on your needs.

Mutual Fund Administrators

SEC Compliance Consultants, Inc. can partner with Administrators to provide expert compliance solutions to fund clients, advisers, and sub-advisers. This allows Administrators the opportunity to add another dimension to the service line by offering premium service capabilities without incurring additional overhead or transferring additional costs to fund clients.

Broker / Dealers

SEC Compliance Consultants, Inc. offers an extensive suite of customizable compliance consulting and training services for FINRA and SEC regulated Broker-Dealers, on either a one-time or recurring basis depending on your needs.  Through our technology solution, we are able to offer a cost effective branch audit solution.