SUPPORT
SEC Regulatory Support
Blueprint GRC provides practical, senior-led SEC compliance support for investment advisers globally. With a dedicated team based in London, we help SEC-registered and exempt reporting advisers (respectively, RIAs and ERAs) navigate complex regulatory obligations under the Advisers Act with clear, actionable support.
Our SEC support summarised:
SEC Registration
Full support with the ADV form, supporting material and requisite compliance programme
Ongoing Advisory
Unlimited access to Blueprint’s compliance team for SEC-related queries.
Rule 206(4)-7 Review
Annual assessment of your compliance program’s effectiveness, with findings, recommendations and practical remediation.
Compliance Manual Support
Drafting and annual updates of policies and procedures tailored to RIAs and ERAs.
Marketing & Advertising Review
Reviews of LP comms, marketing materials, and investor documentation.
Form PF, 13F / 13H / Schedule 13G Filings
Preparation and filing support as thresholds are met.
Employee Training
Annual and new joiner compliance training sessions covering adviser compliance policies, SEC focus areas, recent enforcements and upcoming rule changes.
Inspection Response Programme
On-hand SEC exam support—remote or in-person. May include reviewing and assisting in preparation for SEC interviews and inspection, along with responding to SEC requests.
Events & Insights Access
Invitations to regulatory webinars, publications, and thought leadership events.
Why Work with Blueprint GRC?
Our approach is grounded in senior-led delivery and deep regulatory expertise, with flexible resourcing models that can be tailored to each firm, whether outsourced, in-sourced, or purely advisory. With combined experience across US, UK, and EU regulatory regimes, we provide clear, pragmatic advice focused on practical implementation rather than just theory.