By addressing the common pitfalls discussed in this article, firms can strengthen their compliance infrastructure and better demonstrate their commitment to regulatory responsibility.
Advisers often spend significant time drafting compliance manuals, but are these policies truly effective in daily operations and risk mitigation?
In this first post of our three-part series on common compliance program mistakes, we explore why many firms fall into the trap of the “neglected compliance manual” and how to transform it into a relevant, firm-specific, and engaging resource.
The SEC just proposed major updates that could make life easier for BDCs, closed-end funds, and their advisers when it comes to co-investing.
Stay informed with our February–March 2025 Regulatory Roundup, featuring practical insights on key SEC developments, including updates to the Marketing Rule, crypto regulation, and Rule 506(c) under Regulation D.
Check out the latest trends we are seeing in SEC examinations for private fund managers, including a sharper focus on conflicts of interest, fee transparency, and compliance with evolving regulatory expectations.
SEC Compliance Consulting, Inc. (SEC3) is excited to announce that we have been recognized for thought leadership in the compliance space by JD Supra, as part of its 2025 Readers’ Choice Awards!
Check out our latest tips on updating your Form ADV.
Yesterday, the Securities and Exchange Commission (“SEC”) adopted amendments to Form PF that affect advisers to all private equity funds and large hedge fund advisers.
Last Friday, the Securities and Exchange Commission (SEC) reopened the comment period for its proposed amendments to modernize the rules governing beneficial ownership reporting. The
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