About Securities Compliance Advisors, LLC
- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - Securities Compliance Advisors, LLC (SCA) is a leading regulatory consulting firm providing compliance and registration products and services to  broker-dealers, traditional investment advisers and hedge fund managers. We are known for our ability to design practical compliance solutions that meet the specific needs of our clients rather than taking a “one size fits all” approach. Our consultants stay in regular contact with SEC, NASD and state securities regulators so our clients are always up to date on the latest regulatory trends and priorities.

SCA clients include multi-national financial services companies, hedge fund managers, family offices, institutional and retail advisers, and broker-dealers covering a broad range of activities including general securities, investment company products, public finance, institutional equity, mergers & acquisitions, private placements, international securities, research, and investment banking. SCA clients are located throughout the U.S. and internationally.

SCA has been offering compliance consulting services and products since 1996. The firm’s staff and associates are comprised of industry experts in securities regulation including accountants, attorneys, former regulators, industry executives and compliance officers.

 

INVESTMENT ADVISER TOPICS
	SEC Adopts Anti-Fraud Rule for Advisers to Hedge Funds
	SEC No-Action Letter on Hedge Clauses
	Hedge Fund Registration Rule Struck Down
	How and when should you conduct your annual review if you are an investment adviser?
	Regulation S-P Disposal Rule
	Lori Richards, OCIE Director, discloses current IA exam priorities
	SCA offers specific Investment Adviser compliance programs for Hedge Fund Managers
BROKER/DEALER TOPICS
	NASD amends Anti-Money Laundering (AML) Rule
	SEC Rule Requires certain Broker-Dealers to register under the Advisers Act
	Are you ready to certify to the adequacy of your supervisory controls?
	Regulation S-P Disposal Rule
	SEC approves new definition of Branch Office