SFC Consulting Group and ASCHCO Consulting Group Join Forces

SEC-FINRA Compliance LLC (“SFC”) and the ASCHCO Consulting Group are pleased to announce that we have recently joined forces, adding even greater breadth and depth to our extensive assortment of compliance, regulatory, and risk management products and consulting services.

Our combined Management Team, with collective experience of more than 125 years in virtually all aspects of the financial services industry, recognizes that regulation in the U.S. securities industry is becoming increasingly more challenging and costly and that the need for professional guidance to operate within the parameters of this regulatory maze has become critical for financial services firms of every size – from one person advisory shops and small broker-dealers to the giant international wire houses, asset managers, and global banking institutions.

Both SFC and ASCHCO will continue to focus our efforts on the broker-dealer, registered investment adviser, hedge fund and private fund adviser, banking, and insurance sectors of the financial services industry and will continue to work closely with a number of law firms in support of the legal representation they provide their clients.

Our combined organization’s practice is led by former senior legal, compliance, regulatory, operations, and business professionals and is comprised of a corps of highly qualified and experienced consultants located throughout the United States.

Our philosophy over the years has always been to provide the highest quality consulting products and services with concierge-type client relationships in a cost-sensitive manner, recognizing that our clients are continually faced with competing priorities created by the ever-increasing regulatory challenges coupled with a highly competitive economic environment.

We customize our products and services to address each client’s specific needs in response to its compliance, regulatory, and risk management requirements and responsibilities. Our competitive advantage lies in our personal client interaction and ‘rapid response’ mentality — listening to our clients’ needs and desires, always being available to their personnel, and getting back to them promptly.

Our clients have come to understand and appreciate the value of augmenting and outsourcing their essential compliance and risk management functions so they can focus on their strategic business objectives with the knowledge and confidence that their compliance, regulatory, and risk management responsibilities are being handled in an extremely efficient, cost-effective, and professional manner.

The combination of the two firms will also provide us with additional fiscal and human resources to capitalize on a number of technology initiatives and relationships to automate many of the compliance functions that are so relevant and so critical to financial services firms in today’s regulatory and competitive business environment.

ASCHCO invites you to visit SFC’s website (www.secfinracompliance.com) to see the array of compliance, regulatory, and risk management products and consulting services we provide to the various types of clients (broker-dealers, investment advisers, hedge fund and private fund advisers, insurance companies, banks, and law firms) our Management Team and corps of Consultants have worked with over the past five decades. To arrange for a free consultation, please contact Erik Aschenbrenner at erik@secfinracompliance.com or Alex Rubinstein at alex@secfinracompliance.com or call 1.800.SEC.9906.

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