SEC Compliance Consultants, Inc.
At SEC3, we understand what SEC, NFA and FINRA regulators and investors expect from a compliance program and firm operations. We also understand that, because of the unique characteristics of your firm and your clients, an off-the-shelf compliance program is not likely to meet all of those expectations. We offer an extensive suite of customizable compliance services for investment advisers, private fund advisers, CPOs, CTAs, investment companies, institutional investors and broker-dealers which can complement your internal compliance program on a one-time or recurring basis depending on your needs.
Phone: 212-706-4029
Email: jkim@seccc.com
Website: www.seccc.com
