Communiques

While asset managers should always be aware of the protections provided by their E&O/ D&O coverage, there are more reasons than ever to think about

Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you. SEC3 is teaming up with industry

Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service for

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

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

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