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SEC Compliance Associates

Our associates have over 40 years of combined experience with regulatory compliance. Let us guide your practice through the maze of regulations and show you how to maintain profitability within the confines of new and increasing regulatory oversight. SECIA creates plain English compliance systems for maximum transparency. Cost effective and time efficient compliance solutions. Our effective compliance programs are marked by steady continuity. 2011 SEC Compliance Associates, Inc.

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B/D COMPLIANCE ASSOCIATES, INC

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Our associates have over 40 years of combined experience with regulatory compliance. Let us guide your practice through the maze of regulations and show you how to maintain profitability within the confines of new and increasing regulatory oversight. SECIA creates plain English compliance systems for maximum transparency. Cost effective and time efficient compliance solutions. Our effective compliance programs are marked by steady continuity. 2011 SEC Compliance Associates, Inc.

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SEC Compliance Associates | seciacompliance.com Reviews

https://seciacompliance.com

Our associates have over 40 years of combined experience with regulatory compliance. Let us guide your practice through the maze of regulations and show you how to maintain profitability within the confines of new and increasing regulatory oversight. SECIA creates plain English compliance systems for maximum transparency. Cost effective and time efficient compliance solutions. Our effective compliance programs are marked by steady continuity. 2011 SEC Compliance Associates, Inc.

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SEC Compliance Associates

http://www.seciacompliance.com/SEC-Compliance-Assoicates-team.html

Carrie Wisniewski, President. Ginny’s career in the securities industry started as Operations Manager for an Atlanta-based hedge fund. She was instrumental in helping the management of the fund to form a new broker dealer to service trading for the hedge fund. Ginny then served as the broker/dealer’s chief compliance office and chief operating officer until 2007. Ginny works with clients on special ad hoc projects, new RIA registrations and independent mock SEC-style compliance reviews.

2

SEC Compliance Associates

http://www.seciacompliance.com/SEC-Compliance-Assoicates-services.html

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 and Code of Ethics. Draft of the Client Advisory Agreement (although we strongly urge you to obtain outside counsel review). Inter...

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Our associates have over 40 years of combined experience with regulatory compliance. Let us guide your practice through the maze of regulations and show you how to maintain profitability within the confines of new and increasing regulatory oversight. SECIA creates plain English compliance systems for maximum transparency. Cost effective and time efficient compliance solutions. Our effective compliance programs are marked by steady continuity. 2011 SEC Compliance Associates, Inc.

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