SEC Compliance Solutions That Turn Policies Into Proof.
SEC exams increasingly ask firms to demonstrate that their compliance program works in practice, not simply describe what the written policies say.
Skematic gives investment advisers one connected system to manage compliance policies, employee obligations, marketing reviews, contracts, tasks, cases, and the records that show how work was completed.
SEC compliance is more than written policies.
From policy to process
Skematic maps SEC compliance obligations to recurring tasks, review procedures, employee submissions, and accountable owners.
From process to evidence
Skematic captures submissions, comments, approvals, attestations, reviews, exceptions, and remediation activity as the work happens.
From evidence to oversight
Skematic gives RIA compliance leaders a connected view of what is complete, what is overdue, where risk is emerging, and what documentation is ready for the SEC.
How Skematic maps to SEC compliance requirements.
Skematic supports the operational work behind an SEC compliance program. It does not replace legal advice, regulatory interpretation, or the firm’s responsibility to design policies appropriate to its business.
Rule 206(4)-7
Requirements: Written policies and procedures, annual compliance reviews, testing, findings, and corrective action
Skematic’s Value: Connect policies to compliance tasks, recurring reviews, testing activities, owners, due dates, cases, and supporting documentation.
Rule 206(4)-5
Requirements: Political contribution disclosures, covered associate reviews, government-client considerations, and related documentation
Skematic’s Value: Use configurable disclosure, review, approval, and follow-up workflows to organize pay-to-play information and preserve the associated record of review.
Rule 204A-1
Requirements: Codes of ethics, access-person reporting, personal transaction & holdings reports, preclearance, and certifications
Skematic’s Value: Centralize employee disclosures, certifications, preclearance requests & personal trading reviews in one place.
OBAs & Gifts
Requirements: Employee disclosures, approvals, recurring certifications, exceptions, and review history
Skematic’s Value: Collect employee submissions, route them to the appropriate reviewer, document decisions, and maintain a consistent record of approvals and exceptions.
Rule 206(4)-1
Requirements: Review and approval of advertisements, performance information, testimonials, endorsements, and other marketing comms
Skematic’s Value: Give marketing, legal, and compliance one place to submit, review, comment on, approve, and retain marketing materials.
Regulation S-P
Requirements: Privacy policies, safeguarding obligations, incident-response, vendor oversight, and customer-notifications
Skematic’s Value: Coordinate governance work through assigned procedures, recurring reviews, incident and remediation tasks, attestations, and centralized documentation.
Rule 204-2
Requirements: Retention of policies, reviews, reports, approvals, and other records that support the compliance program
Skematic’s Value: Create centralized, timestamped records connected to the relevant policy, task, workflow, case, or approval so documentation is easier to retrieve and export.
Compliance Streamlined: How a PE firm Turned Manual Workflows into an Efficient Operation
One connected system for the work behind SEC compliance.
Turn annual requirements into owned, trackable work
Manage the recurring tasks, reviews, policies, cases, and obligations that keep your SEC compliance program moving.
- Build and manage a central compliance calendar.
- Assign ownership and due dates.
- Track overdue and incomplete work.
- Link tasks and findings back to policies and procedures.
- Maintain a structured record of completion.
Adminster and oversee your Code of Ethics
Bring employee disclosures, certifications, preclearance, and personal trading oversight into one secure workflow.
- Collect employee disclosures and attestations.
- Manage preclearance requests and automate approvals.
- Monitor personal trading activity and flag violations.
- Maintain records of reviews, decisions, and exceptions.
Move marketing reviews forward without losing the record
Give marketing, legal, and compliance teams a shared process for reviewing and approving communications.
- Submit materials for review.
- Coordinate comments and revisions.
- Document approvals and sign-offs.
- Preserve version history.
- Maintain an audit trail for each review.
Turn agreements and side letters into active obligations
Connect contractual commitments to the people, tasks, and deadlines responsible for managing them.
- Organize contracts & agreements.
- Track obligations and important dates.
- Assign follow-up tasks.
- Manage permissions and access.
- Preserve documentation in a central repository.
Skematic serves SEC registered firms across the spectrum.
RIAs
Build a more consistent operating system for policies, reviews, employee obligations, marketing materials, and exam documentation.
Private equity and private credit
Manage compliance across complex strategies, lean teams, investment professionals, fund operations, and recurring review requirements.
Hedge funds and alternatives
Connect employee compliance, personal trading oversight, marketing reviews, policies, cases, and records in one place.
ERAs & Emerging Managers
Replace spreadsheets, shared drives, email chains, and manual reminders with structured workflows that scale with the firm.
SEC Related Resources
Make your SEC compliance program easier to operate and demonstrate
Your policies should not live in a binder while the real work happens in email, spreadsheets, and shared drives. Skematic connects the policies, people, tasks, reviews, approvals, cases, and records that make your compliance program work.
SEC compliance software FAQs
SEC compliance solutions are software and workflow systems that help investment advisers manage regulatory obligations, document compliance activity, assign responsibility, and retrieve evidence during reviews or exams.