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.

Reg BI in the Spotlight

08/20/2019
On June 5, 2019, the SEC adopted Regulation Best Interest (Reg BI) under the Securities Exchange Act of 1934. Reg BI establishes a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities, including recommendations of types of accounts. Click through for links and information. Read More
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