About
SEC Compliance Solutions LLC provides compliance consulting and resources for registered investment advisers (RIAs). The site states the firm helps RIAs "streamline SEC compliance," and lists services including new advisor setup, SEC mock exams, and reviews to support regulatory readiness. They publish a compliance resource center, complimentary articles, an eBook on the new marketing rule, and a compliance calendar of regulatory deadlines with monthly email reminders for subscribers. Content also addresses policy considerations such as developing policies and procedures for generative AI use, focusing on cybersecurity, misinformation risk, client data protection, and SEC exam priorities. Contact details and a mailing address are published on the site.
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