By Jaqueline M. Hummel, J.D., IACCP®
Director of Thought Leadership, SEC3
SEC Compliance Consultants, Inc. (SEC3 ) is pleased to invite you to a free webinar, “Capture if you can: How to build effective, future-facing comms compliance policies,” hosted by Global Relay. This one-hour event is scheduled for May 1, 2024 at 10:30 a.m. EST. Jaqueline M. Hummel, J.D., IACCP®, who recently joined SEC3 as Director of Thought Leadership, will be speaking at this event along with Howard Fischer, a partner at Moses Singer. Kathryn Fallah, content writer at Global Relay, will be moderating. With the SEC’s continued enforcement focus on off-channel communications, including the most recent case brought against a standalone investment adviser, firms should be looking at how they can limit their liability for employee use of unapproved messaging apps. Tune into this webinar to gain valuable insights on how to revitalize your policies, strategize to deter noncompliance, and prepare for future regulation.
Janaya Moscony, President of SEC3, commented on Ms. Hummel’s new role with her firm and said, “We are delighted that Jaqi has joined our team. I have been impressed by her ability to take complex regulatory topics and boil them down to action items for advisers. Her practical writing style fits in well with our approach to compliance.” Ms. Moscony notes that Ms. Hummel was recognized earlier this year by JD Supra as a Readers’ Choice Top Author in Compliance.
Prior to joining SEC3, Jaqi was the Director of Thought Leadership for Regulatory Compliance at ACA Group and was responsible for championing thought leadership efforts by overseeing content creation. Previously, Jaqi provided compliance consulting services to registered investment advisers, developing effective compliance programs and solving complex regulatory issues, including serving as an Outsourced CCO. Before ACA Group, she served as a managing director and partner at Hardin Compliance Consulting LLC for ten years. In her 30 years in the financial services industry, Jaqi served as Chief Compliance Officer for the investment advisory subsidiaries of a large regional bank and spent many years as an in-house attorney working in the areas of investment adviser, broker-dealer, and investment company regulation and compliance.
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