Investment Adviser
Consulting Services Overview - - - - - - - - - - - - - - - - - - - -
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SCA provides a broad range of compliance and regulatory services to
Investment Advisers. The regulation of advisers has undergone major
change 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 Consultants are constantly talking to
regulators and reviewing new rules, guidelines, no-action letters,
etc. in order to stay current on exam priorities, focus areas and
new initiatives of the SEC and state regulatory bodies.
SCA has been registering investment advisers with the SEC or states
for the past nine years. In addition to registration services, our
Consultants can provide your registered Investment Adviser firm with
new or modified supervisory and compliance procedures, prepare you
for an SEC exam, conduct your Annual Review, review your personal
securities transactions,, respond to SEC deficiency letters, review
advertising and marketing material, handle your IARD registrations,
update your Form ADV, provide up-to-date news alerts, conduct
training seminars, and consult on compliance issues specific to your
organization's Investment Adviser regulation needs.
Our investment adviser clients include multi-national financial
services companies, hedge fund managers, family offices, advisers to institutions
and high net worth clients, advisers to mutual funds and
retail-focused advisers.
