SEC³ Compliance

Overview

SEC³ Compliance serves investment advisers, private-fund advisers, investment companies, broker-dealers, and certain commodities-regulated firms. For an RIA, the relevant offering spans initial registration, continuing program administration, mock regulatory examinations, outsourced CCO service, and support when an independent consultant is required for remediation.

The company describes a customizable approach rather than a single fixed package. Work may be a discrete assignment or a recurring relationship in which consultants participate in scheduled calls, follow a reporting calendar, and handle defined compliance responsibilities.

Who it may suit

The firm may suit an adviser whose CCO wants outside capacity for reviews, filings, monitoring, training, and regulatory developments. It also presents a more comprehensive option for a firm evaluating an external CCO, with recurring meetings and committee involvement among the available activities.

Mock-examination and examination-assistance services may be relevant to an established RIA testing its preparedness. SEC³ also identifies a separate independent-compliance-consultant role for firms subject to enforcement-related oversight or remediation, which should be scoped against the governing regulatory requirement.

RIA compliance services

The published partnership menu covers annual Rule 206(4)-7 work, risk assessment, manual maintenance, the annual Form ADV amendment, other regulatory reports, compliance training, ethics review, electronic-communications review, marketing review, calendar administration, recurring meetings, and SEC examination assistance. Registration and program-development work is available for firms entering a regulated business.

Mock examinations evaluate the current program and may lead to a tailored remediation plan. An outsourced CCO service is also offered. The independent-consultant practice can review and test procedures, recommend improvements, oversee corrective work, or conduct periodic reviews when required by a regulator.

How the engagement works

Prospective clients can choose tailored compliance support, assistance to the firm’s own CCO, or an outsourced CCO relationship. The source material also permits one-time work. The exact division of labor, however, is not explained by a completed public comparison table, so a proposal needs to identify owners, cadence, deliverables, authority, and escalation paths.

One disclosed dependency deserves attention: Code of Ethics review in the partnership menu requires Orion Compliance. Buyers should determine whether that system is already in place, who administers it, and whether licensing or implementation sits outside SEC³’s fee.

What stands out

The range covers both ordinary program upkeep and less routine regulatory remediation. That gives a buyer a potential path from testing or an examination through documented corrective work without assuming that every assignment must become a full outsourced-CCO engagement.

The three support levels also provide a useful starting point for firms comparing capacity assistance with transfer of the CCO role. The substance matters more than the label, particularly where management retains regulatory accountability.

What to clarify before contacting

Ask for a written responsibility matrix covering filings, monitoring, testing, policy changes, employee issues, marketing, communications, meetings, records, and regulator contact. Confirm staffing, access, turnaround targets, reporting format, evidence retained, and the treatment of urgent examinations or suspected violations.

For mock exams or mandated remediation, define scope, sampling, interviews, findings, recommendations, implementation help, retesting, regulator-facing reports, independence requirements, and conflicts. For an outsourced CCO, also clarify authority, insurance, termination support, technology, on-site availability, and activities priced separately.