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
Individual liability is quickly rising to the forefront of the radar of the Securities and Exchange Commission. In fact, over the last five years, 80%
As we begin a new year, our thoughts turn to our clients and friends who have made our progress possible. We are grateful to our
The SEC announced on December 13 that they have brought charges against a New Jersey man and his company for allegedly committing fraud in a
Yesterday, the SEC indirectly affirmed that registered investment advisers and investment companies can outsource their CCO to an unaffiliated third party and satisfy their 206(4)-7(c)
