slide 1: 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 https://seccsllc.com/
slide 2: Our History
More about our history and vision can be found on https://seccsllc.com/
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.
slide 3: 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
slide 4: 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
slide 5: 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
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