President Janaya Moscony Interviewed by Julie DiMauro – Thomson Reuters
This January, Janaya Moscony, president of SEC3, was interviewed by Julie DiMauro – Thomson Reuters.
Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability
This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service for compliance and risk professionals and is reprinted with the permission of Thomson
Webinar: CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
When: Tuesday, February 21, 2017 Schedule: 11:00am ET / 10:00am CT / 9:00am MT / 8:00am PT / 7:00am AT Description of Webinar: The National
Webcast: SEC 2017 Examination Focus Area – Cybersecurity Testing
Penetration Testing & Vulnerability Assessments – Examining the SEC & FINRA Requirements When: Wednesday, January 25th | Schedule: 12pm – 1pm EST Who: Paul Caiazzo,
Wishing One-and-All a Happy, Healthy and Prosperous New Year
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
CCO Liability: Managing Liability: Navigating Indemnities and Insurance Options
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Understanding How to Mitigate Liability and Navigate Insurance Options (Part II)
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
Chief Compliance Officer Roundtable: Breakfast Briefing
When: October 20, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom
Practicing Law Institute – Hedge Fund Management 2016
When: September 15, 2016 Where: New York & concurrent webcast | 1177 Avenue of the Americas | New York, NY 10036 Schedule: 9:00 am –
Cybersecurity – What have we learned and what have we done?
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.
Gatekeepers in SEC Crosshairs
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
Anna M. Bencrowsky, CRCP, CMFS Joins SEC3
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
