Communiques

SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018’s Share Class Selection Disclosure Initiative and a broader look

Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Advisers: Compliance, Supervision, and Disclosure of Conflicts of Interest (“

On May 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying frequent security risks associated with the storage of

In line with the OCIE’s National Exam Priorities targeting its examination efforts to prevent harm to retail investors the SEC announced March 11, 2019, that

In a first time release, stemming from agency initiatives to improve its relationship with regulated entities, the Commodity Futures Trading Commission (CFTC) recently announced its

While we know you prefer a box of chocolates today instead of this industry update on compliance, this one is a gift and hence, will

You may recall after Clayton took the helm as Chairman at the SEC, the agency disclosed that it had its own cyber breach and the

These government shut downs don’t usually go on indefinitely. Before we blink an eye, examiners will be back on the beat. CCOs must stay vigilant.

The SEC today suspended three accountants formerly of BDO USA LLP for improper professional conduct during its 2013 audit of AmTrust Financial Services Inc., an

On Friday, September 28, 2018 the SEC charged LendingClub Asset Management (LCA) and its former president Renaud Laplanche with fraud for improperly using fund money