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IA Registration Solution

SECIA will establish your firm as an Investment Advisor with the SEC while you focus your time and attention on your clients:

    • Gather initial data from your firm via forms and telephone interviews
    • Prepare and file the entire Form ADV (including the brochure)
    • Prepare and file up to ten (10)  investment adviser representative registrations
    • Preparation of the Compliance Manual & Code of Ethics
    • Draft of the Client Advisory Agreement (although we strongly urge you to obtain outside counsel review)
    • Unlimited Telephone Consulting & Email Responses
    • Administration of the IARD electronic filing platform until final approval of the IA
 
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Ongoing Compliance Support

SEC Compliance Associates, Inc. offers a turn-key outsourced compliance solution for your SEC compliance needs:.

    • Unlimited Telephone Consulting)
    • E-Mail Compliance Alerts
    • Marketing and Advertising Review
    • Initial and On-Going Review of Offering Documents for potential conflicts of interest
    • Form ADV Maintenance
    • IARD Registration (including all investment advisor representatives)
    • Compliance Manual and Code of Ethics
    • Filing of Form 13F and Schedule 13G (if applicable)
    • Annual Employee Compliance Training
 
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Compliance Inspections

SECIA offers mock SEC-style compliance inspections using a risk-based matrix.  Some of the areas we review include, but are not limited to the following high risk areas:

  • Compliance with the Securities Act of 1933 (and applicable exemptions), the Advisors Act, and the Investment Company Act of 1940
  • Assessment of suitability requirements and compliance with SEC regulations
  • Internal adherence to the investment objectives described in offering documents
  • Analysis of financial statements to ensure that payments are made in accordance with disclosures provided to investors
  • Review of investor correspondence
  • Review of marketing materials


Some of the documents reviewed by SECIA include:

  • PPM, term sheets and other offering materials
  • Subscription agreements, including qualifying questionnaires
  • Capital Account Worksheets
  • Correspondence between the advisor and investors
  • Advertising and marketing materials
  • Regulatory filings, including Form D, filed with the SEC
  • Custodial Statements
  • Financial Statements
 
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