Welcome To Securities Compliance Advisors

Protect Your Reputation

We work with you to develop practical strategies to address your biggest challenges.

We Know Your Business

At SCA, we start by getting to know you. You talk, we listen. 

About

Our collaborative team of professionals provides a focused, efficient, and highly individualized approach to regulatory compliance for financial institutions. Our clients, located throughout the US and Europe, include family offices, private fund managers, institutional and retail investment advisers and broker dealers offering a variety of investment services. 

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Our Services

We provide regulatory and compliance consulting services to clients regulated by the SEC, FINRA, CFTC, NFA, MSRB and/or state securities regulatory bodies. Many of our clients are regulated by multiple regulators, which adds complexity to an already challenging regulatory environment. One of our primary goals is to help clients manage this complexity and integrate compliance into the business. We believe this approach serves to enhance the overall performance of the organization.

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Investment Adviser

We have been offering regulatory services to investment adviser clients since 1997. Our full range of services include registration, development of compliance programs, on-going compliance support, and mock SEC examinations.

Private Fund

We offer a broad range of services designed to assist our private fund clients in managing their regulatory risk. Our services cover SEC and state registration, risk management, compliance program development, support, and regulatory advisory services.  

Family Office

SCA’s investment advisory regulatory and compliance services cover family offices that do not qualify for the exclusion from SEC registration under the Family Office Rule. Family offices require a highly individualized approach to compliance with the Advisers Act.

Broker Dealer

SCA’s broker dealer clients cover a broad range of activities, including general securities, investment company products, public finance, institutional equity, fixed income trading, private placements and mergers and acquisitions.

Meet Our Staff

Whatever your greatest challenges are, our team will be there for you.

Proxy Voting in the Spotlight

10/15/2019
The SEC recently issued guidance to assist investment advisers in fulfilling their proxy voting responsibilities, particularly where they use the services of a proxy advisory firm, and provides guidance on proxy voting disclosures. Click through for links and information. Read More
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