2018 – Are you ready for your next SEC exam?
Learn essential SEC exam preparation tips and strategies to ensure your firm is ready for regulatory scrutiny.
Chief Compliance Officer Roundtable: Breakfast Briefing – February 7, 2018
Join industry experts for a seminar on SEC chief compliance officer topics. Register now for networking and valuable insights.
Navigating the Changes to Form ADV
Stay informed about the recent SEC updates to Form ADV. Get insights on disclosure requirements and compliance assistance
Overlooked Benefits of E&O/D&O
Learn about the importance of E&O and D&O insurance for asset managers amid SEC emphasis on individual accountability
Upcoming Events – September & October 2017
Join industry experts in NYC for upcoming compliance events covering PF management, CCO roundtables, and post-investment relationships
May 23, 2017 – Webcast: WannaCry Ransomware: Were You Really Protected or Just Lucky
Join industry experts for a ransomware defense webinar. Learn about the various forms of ransomware and how to protect your systems.
June 14, 2017 – Compliance Breakfast Briefing
Join us for a CCO seminar in Houston covering SEC compliance updates, liability issues, and insurance considerations.
June 13, 2017 – Compliance Breakfast Briefing
Join us for a CCO seminar in Dallas covering new SEC regulatory compliance updates, liability issues, and insurance considerations.
May 31, 2017 – Chicago
Join us for a CCO seminar in Chicago covering SEC regulatory compliance updates, liability issues, and insurance considerations.
May 17, 2017 (NYC WIMF)
May 15, 2017 (NYC Chief Compliance Officer Roundtable)
Join industry experts for a CCO seminar in New York covering SEC updates, compliance insights, and recent enforcement cases.
SEC3 Upcoming Events
Join SEC3 and industry experts for upcoming compliance events covering SEC updates, liability issues, and coverage considerations.