Read SEC Exam Tips in PDF Format Before the SEC comes in: Disclosure, Disclosure, Disclosure. Make sure it’s adequate and complete. It’s not a cure-all,
This January, Janaya Moscony, president of SEC3, was interviewed by Julie DiMauro – Thomson Reuters. SECCC
This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service for compliance and risk professionals and is reprinted with the permission of Thomson
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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
The U.S. Securities and Exchange Commission’s (SEC’s) 2015 examination priorities (PDF) are very different in scope and structure from those of previous years. For instance,
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
Janaya Moscony, CFA, President of SEC3 says, “Once registered, private fund managers must follow the same rules as traditional managers. However, the difference in business
