SEC Compliance Training
April 21, 2012
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SEC and FINRA compliance and regulatory training – Ongoing compliance training is viewed by the regulators as an essential component of a robust compliance program.
SEC and FINRA compliance and regulatory training – Ongoing compliance training is viewed by the regulators as an essential component of a robust compliance program.
Mutual Fund Administrators SEC Compliance Consultants, Inc. can partner with Administrators to provide expert compliance solutions to fund clients, advisers, and sub-advisers. This allows Administrators
President Obama signed into law the Jumpstart Our Business Startups Act (“JOBS Act”) which liberalizes the way private placements are conducted and allows general solicitation
When: April 3rd-5th, 2012 Where: Bonnet Creek Resort, Orlando, Florida Janaya Moscony, President and Founder of SEC Compliance Consultants, will be a featured speaker in
When: March 29th, 2012 – 8:00 a.m. to 10:00 a.m. Where: Belle Haven Club, 100 Harbor Dr Greenwich, CT How Will The New Sec Landscape Affect Your Chances
When: Feb 29th, 2012 – 9:00 am to 11:00 am Where: Blank Rome LLP, The Chrysler Building, 450 Lexington Avenue, 22nd Floor Board Room Chief
Forms SLT, SHC and S are part of the reporting requirements of Treasury International Capital (“TIC”) reporting system administered by the U.S. Department of the
This June SEC3 Compliance Consultants published an article for Thompson Reuters Acceluson the topic of adding and managing external resources to aid in your research
Janaya Moscony, President and CEO of SEC3, was quoted in a recent Wall Street Journal article entitled “Danger! Danger! – How to Size Up the
Janaya Moscony, President & CEO of SEC3, is quoted in the Fortune / CNNMoney article entitled “Hedge fund regulation? What hedge fund regulation?” (article link). The
