We hope each of you found some peace and tranquility in the company of loved ones this holiday season and want to wish one-and-all a
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In June, we shared our thoughts around common insurance gaps and insurance riders that CCOs as well as managers should understand. One of the gaps
When: October 20, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom
When: September 15, 2016 Where: New York & concurrent webcast | 1177 Avenue of the Americas | New York, NY 10036 Schedule: 9:00 am –
Regulatory Landscape In April 2015, the Securities and Exchange Commission (“SEC’s”) Division of Investment Management issued a guidance update, identifying cybersecurity as a critical issue.
Ever since the enforcement cases were announced as part of the SEC’s “Operation Broken Gate,” the SEC enforcement division has continued to ramp up scrutiny
We are pleased to announce that Anna M. Bencrowsky, CRCP, CMFS has joined SEC3 as a Senior Consultant. Prior to joining SEC3, Anna held several
Despite all the proper steps you can take as Chief Compliance Officer (“CCO”) to avoid an enforcement action, insurance becomes a necessary step in self-risk
We know first-hand the stress involved when the SEC calls to inform you that they are coming onsite to conduct an exam. Not only have
