In February, the SEC’s Division of Examinations announced its 2023 National Exam Priorities. The following article outlines the SEC3 Team’s take on how compliance officers
Yesterday, the SEC proposed rule changes designed to enhance protections of assets managed by Registered Investment Advisers. If adopted, the changes would update the Advisers
Last week, the SEC’s Division of Examinations (the Division) announced its 2023 National Exam Priorities. The SEC identified several broad areas of focus highlighting four
On January 30, 2023, the U.S. Securities and Exchange Commission Division of Examinations released a Risk Alert regarding Regulation Best Interest (“Reg BI”). Focused on
On January 30, 2023, the U.S. Securities and Exchange Commission (“SEC”, “Commission”) proposed amendments to its ethics rules that govern the Commission’s employees, their spouses,
The SEC recently announced a settlement with Bloomberg Finance L.P. (“Bloomberg”) in regard to civil charges accusing the company of providing misleading disclosures relating to
SEC Compliance Consultants, Inc. (SEC3) is pleased to announce the addition of a new Director of Operations, Ji Kim. As Director of Operations, Ji will
SEC Compliance Consultants, Inc. (SEC3) helps organizations bridge the SEC compliance knowledge gap. SEC3 is a regulatory compliance consulting firm serving investment advisers, private funds,
SEC Compliance Consultants, Inc. (SEC3) helps organizations bridge the SEC compliance knowledge gap. SEC3 is a regulatory compliance consulting firm serving investment advisers, private funds,
When: February 27, 2023 – March 2, 2023 Where: Orlando World Center Marriott – Orlando, FL SEC3 will be sponsoring Orion’s National Ascent 2023 Conference in Orlando,
