When: April 13, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 22nd Floor Boardroom Thomas
The roles and responsibilities undertaken by Chief Compliance Officers (“CCOs”), whether in house or outsourced, is a significant point of interest for the Commission. Given
Individual liability is quickly rising to the forefront of the radar of the Securities and Exchange Commission. In fact, over the last five years, 80%
As we begin a new year, our thoughts turn to our clients and friends who have made our progress possible. We are grateful to our
The SEC announced on December 13 that they have brought charges against a New Jersey man and his company for allegedly committing fraud in a
Yesterday, the SEC indirectly affirmed that registered investment advisers and investment companies can outsource their CCO to an unaffiliated third party and satisfy their 206(4)-7(c)
Yesterday, Director of the Enforcement Division of the Securities and Exchange Commission, Andrew Ceresney was the keynote speaker at the National Society of Compliance Professionals
The Securities and Exchange Commission announced on October 22, 2015 a comprehensive report describing the results of enforcement actions taken against advisers in fiscal year
On October 7, 2015, the SEC announced a large settlement with a private equity firm charged with failure to disclose. The SEC said that the
When: November 17, 2015 Where: Convene Midtown East | 730 Third Avenue | New York, NY 10017 Janaya Moscony, President, SEC Compliance Consultants, Inc. will
