SEC Compliance Solutions - Mock SEC Exam


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Expert RIA Compliance Services by SEC Compliance Solutions -


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SEC Compliance Solutions helps new investment advisers established RIAs and private fund advisers streamline their compliance program. The SEC makes the rules we make it easy for RIAs to report on and apply them. OUR SERVICES New Adviser Setup Build a compliant foundation. Get accurately registered educated on the rules specific to your business and achieve practical and fully compliant policies and procedures. Annual Compliance Review Simplify SEC compliance. Embrace simplified policies streamlined procedures minimized risk of oversights and an organized and methodical annual review. Mock SEC Exam Comply with confidence. Reveal potential areas for improvement receive the necessary education and resources to strengthen them and prepare your employees for interacting with SEC staff. For more information about our services visit

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Our History More about our history and vision can be found on SCS’s lineage was born with the formation of Ashland Compliance Group a division of Ashland Partners Company LLP Ashland Partners. Ashland Partners was a specialty CPA firm whose primary services were GIPS® compliance and verification SAS 70 attestations and Surprise Custody Examinations. Ashland Compliance Group ACG was established as a division of Ashland Partners—in response to the Compliance Rule Rule 2064-7 of the Investment Advisers Act of 1940—to alleviate the burden of the new Compliance Rule by helping registered investment advisers develop policies and procedures plan and manage the required annual review process and conduct independent forensic testing and reviews. Ashland Compliance Group became independent from Ashland Partners and rebranded as Focus 1 Associates LLC Focus 1 eliminating the double duties of GIPS and SEC consulting and focusing solely on its clients’ SEC compliance needs. Elizabeth Cope spun off from Focus 1 with colleagues Katie Mogan and Christene Sismondo to found SEC Compliance Solutions LLC with a further-refined focus of simplifying SEC compliance and making it practical efficient and effective.

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Our Clients’ Client Types Percentage of our clients who manage: Client Strategies SEC Compliance Solutions LLC clients manage all types of strategies on both a discretionary and non- discretionary basis including:  U.S. Equity  Foreign Equity  Fixed Income  Private Equity  Currency Overlay  Future Contracts Client Locations

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Our Team May our experience be your guide Our SEC compliance consultants have 25 years of cumulative RIA compliance experience on both the adviser’s side and the consultant’s side. Jointly our team has experience in:  SEC compliance  GIPS compliance and verification  SAS 70 now known as SOC 1 policy and procedure audits Certifications  CIPM – Certificate in Performance Measurement  CPA – Certified Public Accountant  CSCP – Certified Securities Compliance Professional  IACCP® – Investment Adviser Certified Compliance Professional Elizabeth L. Cope MANAGING MEMBER CPA CIPM CSCP Elizabeth has over 15 years of experience working with investment advisers of all sizes across all asset classes within the United States and parts of Asia and Europe. Katie R. Mogan SENIOR COMPLIANCE CONSULTANT IACCP® Katie has over 10 years of RIA compliance experience working as a compliance officer and compliance manager for investment advisers and has played a key role in SEC examinations. Christene R. Sismondo DIRECTOR OF OPERATIONS Christene has 15 years of experience managing and administering back-office operations. She has worked in the investment management industry since 2009 for SEC Compliance Solutions LLC SCS and its predecessor firms: Focus 1 Associates LLC and Ashland Partners Company LLP an internationally recognized GIPS compliance and verification CPA firm. Find Out More about Our SEC Compliance Consultants

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Our Recent Blog Posts SEC Compliance Solutions LLC assists new investment advisers established RIAs and private fund advisers with streamlining compliance efforts while meeting all SEC requirements. 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. Mailing Address P.O. Box 8178 Medford OR 97501 541-227-2336 SEC 2018 Exam Priorities – How do they affect you RIA Compliance Calendar 2018 Filing Deadlines How to Prepare for ADV Part 2A Updates Crypto currencies… are they considered a security ADV Part 1 Changes

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