Annual ADV Updating Amendments are due this month. We have compiled a list of essential tips to help you avoid common pitfalls. #compliance #ADV #annualamendment #consistency #errors #doublecheck #booksandrecords #March31st https://lnkd.in/gXjTc9J9
关于我们
SEC Compliance Solutions LLC assists new investment advisers, established RIAs, and private fund advisers with streamlining compliance efforts while meeting all requirements. The SEC makes the rules; we make it easy for you to apply them. Our purpose is to simplify the complicated, clarify the confusing, and relieve your compliance overwhelm. We achieve this by understanding your uniqueness first. Then, we strip away the inapplicable rules and regulations and make adhering to the remaining, relevant rules practical. Our customized, practical approach simplifies your processes and reduces the risk of compliance oversights. If you’re looking for a mock SEC examination, SEC registration and filing assistance; policies and procedure development; or annual review planning, execution, and documentation, we’ve got you covered.
- 网站
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https://www.seccsllc.com
SEC Compliance Solutions LLC的外部链接
- 所属行业
- 金融服务
- 规模
- 2-10 人
- 总部
- Medford，OR
- 类型
- 私人持股
- 创立
- 2017
- 领域
- SEC Compliance Consulting、Mock SEC Examinations、Annual Compliance Reviews、New Adviser Registration、Policies and Procedures Development和SEC Compliance Training
地点
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主要
获取路线
P.O. Box 8178
US，OR，Medford，97501
SEC Compliance Solutions LLC员工
动态
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Do your policies and procedures address generative AI? Our article can get you started or help you enhance your current procedures. Check it out on our Resources page! #compliance #generativeAI #policiesandprocedures #informationsecurity #duediligence #disclosure #training #cybersecurity https://lnkd.in/gXBmxR4A
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SCS is hiring for a Compliance Associate or Manager! Check out the position details on our website and send application materials to [email protected]! We look forward to hearing from you! #joinourteam #scs #compliance #remote
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SEC Compliance Solutions LLC转发了
BOI is no longer required, see the statement alert from FinCen.
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Did you miss the recent discussion with Elizabeth Cope, CPA, CIPM, CSCP and Simon Eyre of Drawbridge on essential compliance & cybersecurity takeaways from the SEC’s November 7th outreach???We’ve recorded the session so you can catch up at your convenience!
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Check out Joe Reilly's latest article on our Resources page! He highlights key takeaways from new and updated rules applicable to RIAs. #Formpf #13D #13G #regsp #incidentresponse #AML
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On November 14th, join Elizabeth Cope, CPA, CIPM, CSCP and Simon Eyre, CISO at Drawbridge, for a fireside chat where they’ll review the key findings from the SEC Seminar as well as the latest 2025 SEC Examination priorities. You’ll also hear about real-world scenarios relevant to advisors as they share insights on operational resiliency and cyber priorities. Looking to stay informed on SEC guidance and practical security considerations??Register today!