Private Fund Adviser Registration – A white paper prepared by SEC3 describing the SEC registration process for hedge funds and private equity funds pursuant to the Private
Today, HedgeWorld.com published an article written by Janaya Moscony and Jose Santiago, both of SEC Compliance Consultants, Inc. The article entitled SEC Registration of Private
Broker / Dealers SEC Compliance Consultants, Inc. offers an extensive suite of customizable compliance consulting and training services for FINRA and SEC regulated Broker-Dealers, on
Investment Companies Among the challenges facing funds is the ability to maximize the compliance capabilities of limited resources while minimizing the impact to shareholders. SEC3
Private Fund Adviser Registration and Compliance With private fund adviser registration now a necessity, compliance for hedge funds and private equity funds tops the list
Private Fund Registration with SEC Our services range from assistance with SEC registration to varying degrees of outsourced compliance assistance. Depending on current staffing levels
Investment Advisers SEC3 offers an extensive suite of customizable compliance services for investment advisers, on either a one-time or recurring basis depending on your needs.
Janaya P. Moscony, President As a former Securities and Exchange Commission (“SEC”) regulator, Janaya has significant experience in the examination, implementation and enforcement of securities
Risk assessment is a phrase used to describe the process of identifying and estimating the exposure to real and potential risks. Forensic testing is colorful
This past July the SEC published a Compliance Alert summarizing issues found during recent examinations. The following ten discussion items address the top areas addressed
