Top Compliance Program Mistakes (and How to Avoid Them) (Part 3 of a three-part series)
By addressing the common pitfalls discussed in this article, firms can strengthen their compliance infrastructure and better demonstrate their commitment to regulatory responsibility.
Top Compliance Program Mistakes (and How to Avoid Them) (Part 2 of a three-part series)
Advisers often spend significant time drafting compliance manuals, but are these policies truly effective in daily operations and risk mitigation?
Top Compliance Program Mistakes (and How to Avoid Them) (Part 1 of a three-part series)
In this first post of our three-part series on common compliance program mistakes, we explore why many firms fall into the trap of the “neglected compliance manual” and how to transform it into a relevant, firm-specific, and engaging resource.
A New Era for Co-Investments?
The SEC just proposed major updates that could make life easier for BDCs, closed-end funds, and their advisers when it comes to co-investing.
Regulatory Roundup for February and March 2025
Stay informed with our February–March 2025 Regulatory Roundup, featuring practical insights on key SEC developments, including updates to the Marketing Rule, crypto regulation, and Rule 506(c) under Regulation D.
7 Ugly Truths About Compliance: a Primer for New Chief Compliance Officers
Being a Chief Compliance Officer is an important job but before you accept the offer, there a few things you should know. Enjoy!
Predictions for 2025: What Private Fund Advisers Can Expect from SEC Examinations
Check out the latest trends we are seeing in SEC examinations for private fund managers, including a sharper focus on conflicts of interest, fee transparency, and compliance with evolving regulatory expectations.
SEC3 Gets Readers’ Choice Award for Thought Leadership in Compliance from JD Supra
SEC Compliance Consulting, Inc. (SEC3) is excited to announce that we have been recognized for thought leadership in the compliance space by JD Supra, as part of its 2025 Readers’ Choice Awards!
The Most Wonderful Time of the Year: Form ADV Season
Check out our latest tips on updating your Form ADV.
Regulatory Roundup for January 2025
Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines.
Lessons from 2024: Tips for Private Fund Managers
As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025.
Regulatory Roundup for December 2024
Stay informed with our December 2024 Regulatory Roundup, covering key SEC enforcement trends, leadership transitions, and crucial compliance lessons for investment advisers.
