Securities Compliance Advisors, LLC is a leading regulatory consulting firm providing compliance and registration products and services to broker/dealers, investment advisers, family offices, hedge funds and private equity funds.
SCA provides a broad range of compliance and regulatory services to the broker/dealer community. Our clients have found that outsourcing certain aspects of their compliance functions is a cost effective strategy that provides access to qualified experts when needed.
SCA provides compliance and regulatory services to investment advisers. Investment adviser regulation has undergone major changes over the past few years. It continues to be a challenge to keep up with all of the SEC and state regulations and interpretations.
SCA provides compliance and regulatory services to hedge funds, private equity funds, real estate funds and venture capital funds. Our experts stay current on the changes under Dodd-Frank impacting registration and compliance requirements for private funds.
Deadline for Private Funds to File New Form PF is Looming - The Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) adopted joint rules pursuant to Title IV of the Dodd-Frank Wall Street Reform and Consumer protection Act (“Dodd-Frank”) that require registered private fund advisers to file Form PF at least annually.
New FINRA Communications with the Public Rules (2210 and 2212 through 2216) - New FINRA Communications with the Public Rules (2210 and 2212 through 2216) make various revisions to the current NASD rule requirements and became effective on February 4, 2013. The new rules make various revisions to FINRA requirements for firms' communications with the public.
2012 National Exam Program Overview - In March of this year, the Securities and Exchange Commission's ("SEC") Office of Compliance Inspection and Examinations ("OCIE") published its 2012 National Exam Program Overview (the "Overview") on the SEC's website. The Overview is a valuable tool for any firm in strengthening its compliance program and preparing for SEC examinations.