Practice/Organization Description
For over two decades, we have been providing compliance consulting services and servicing as outsourced Chief Compliance Officer. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
Regulatory Experience
Our staff has years of SEC, NFA and FINRA experience. We’ve conducted thousands of examinations and have evaluated the compliance and control environments of all types of firms from specialty boutiques and proprietorships to some of the largest complexes offering every product and service imaginable. We stay attuned to the regulators’ ever-changing examination and enforcement initiatives.
Industry Experience
Our staff has worked for some of the largest investment managers and complexes in the country, serving in various compliance and operational capacities. Additionally, our professionals are frequent speakers at industry conferences and are often quoted in industry publications.
Economies of Scale
Our experience and wealth of resources enable you to receive premium services without detracting from your primary business of investing. Engaging SEC³ is more cost effective than hiring additional internal compliance staff.
