Expertise: Regulatory reporting solutions > SEC 

Create a connected compliance framework

The role of SEC  

The mission of the U.S. Securities and Exchange Commission (SEC) is: 

  • To protect investors 
  • To maintain fair and efficient markets 
  • To facilitate capital reform. 


SEC can be summarised as two main concepts: 

  1. Companies that offer securities as a service to the public must tell the truth about their business, what they are selling and the risk that is involved in their securities 
  2. Brokers, dealers and exchanges who trade and sell securities must treat their investors honestly and in a fair manner. 

SEC requires your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q. SEC regulation outside of the United States is determined on a country-by-country basis; let us help you get SEC right for your business. 

The SEC compliance process  


Step 1

Step 2

Step 3

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Step 1: Workshopping 

We will align goals and objectives across your company. We typically work closely with your finance department, the IT compliance group, internal audit and core compliance teams and the risk management team. We will join you at the stage you have reached in your compliance journey so far and provide: 

  • An advisory capacity for companies just embarking on SEC compliance  
  • A resource to help assess and source the right technology for companies who know what they want but are unsure what technology to invest in 
  • Process and implementation guidance for those who have invested in technology and wish to understand how best to utilise it. 

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Step 2: Scoping

We will work closely with your company to align with your vision, and map out the process required to achieve it. The vision board will: 

  • List all change initiatives required 
  • Develop a working plan ready for implementation 
  • Establish a standard review methodology 
  • Execute a flexible project plan for agile implementation. 

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Step 3: Implementation

We will help guide the project to ensure all goals and objectives are achieved via your chosen technology, ensuring: 

  • A better flow of information with more manageable reporting formats 
  • All core departments within the company are connected  
  • Goals are consolidated across the company resulting in unified compliance. 

Benefits of implementing SEC reporting with VantagePoint  

VantagePoint will assess your compliance requirements and guide you through the process required to centralise and automate SEC reporting ensuring you:

  • Become SEC compliant 
  • Automate the reporting process 
  • Centralise data collection into one single solution 
  • Understand the various data sources required for SEC reporting. 

Robert Hart

Aferian - VP Group Finance

"I found the team at VantagePoint very professional, easy to talk to, easy to get on with, available and very good at giving you updates." 

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