How to Prepare for The State to SEC Transition

Crossing $100M in AUM is a significant milestone — and a significant compliance shift. State-registered firms transitioning to SEC oversight face new documentation standards, broader scrutiny, and higher expectations for governance, recordkeeping, and marketing compliance. The firms that navigate this well start preparing before they have to.

In this session, Comply’s Ann Hauerland, VP of Regulatory Operations, and Alison Cooley, Senior Director of Product Marketing, break down what it takes to build a compliance program that’s ready for SEC registration. This webinar is for the CCO who’s wearing multiple hats and needs a clear, actionable picture of what SEC readiness actually looks like — without the overwhelm.

We’ll walk through:

• What changes at $100M — and what the SEC will assess that your state regulator didn’t
• How to prioritize fiduciary duty, cybersecurity, and marketing compliance during the transition
• Practical documentation habits that build an audit trail examiners trust
• How to run a mock exam without an outside firm
• Technology considerations for recordkeeping, supervision, and marketing review

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