ABOUT CROWN CITY COMPLIANCE

Crown City Compliance provides both ongoing and
project based consultation services dependent upon your needs.
Specializing in State and SEC compliance, we reduce your paper pile
so you can focus on your other important responsibilities. 

SERVICES

  • Annual updates and notice filings for Investment Advisory Firms
  • Development and review of current compliance program
  • Analysis of requisite internal controls
  • Mitigation of known conflicts of interest
  • Compliance training to firm personnel
  • Review of marketing and performance advertising
  • Analysis on how new and revised regulations affect your firm
  • Creation of customized compliance calendar for the firm
  • Periodic on-site risk management reviews
  • Email surveillance and trade reviews
  • Compliance consulting on an “as needed” basis

Specializing in the needs of state and SEC registered advisors

ABOUT GRETCHEN E. LEE

Gretchen E. Lee

P.O. Box 157

Sierra Madre, CA  91025

www.crowncitycompliance.com

(626) 786-7073 / gleecomp@msn.com

Gretchen Lee, the Founder and Chief Consultant of Crown City Compliance, established her business in 2009 because she recognized that advisory firms’ senior management need negotiable help in navigating regulatory requirements. Crown City Compliance today tackles a company’s time consuming tasks by providing customized compliance solutions to its investment advisers.  Gretchen acquired her strong background in regulatory compliance in three arenas. First, she worked at a Wall Street powerhouse, then for a large institutional money manager, and finally for a family-owned investment adviser.  She currently serves as in-house CCO for a wholly employee-owned investment adviser.
She provides her clients analysis of internal controls, review of marketing materials, updates to Compliance policies and procedures, and ADV filings.  Gretchen has also given on-site compliance support to her clients during times of transition.  She prides herself on developing strong, long-term personal relationships with her clients. 
Gretchen has been an active member of the Southern California Compliance Group for over 15 years.  She can regularly be found attending and presenting at industry conferences. She holds a Bachelor of Arts degree in Economics from Scripps College.  Her hobbies include hiking and skiing with her family. Gretchen’s full resume is available upon request. 

CONTACT US
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