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