Understanding How to Mitigate Liability and Navigate Insurance Options
Despite all the proper steps you can take as Chief Compliance Officer (“CCO”) to avoid an enforcement action, insurance becomes a necessary step in self-risk
Are you ready for your next SEC exam?
We know first-hand the stress involved when the SEC calls to inform you that they are coming onsite to conduct an exam. Not only have
CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
When: April 13, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 22nd Floor Boardroom Thomas
Liability and Outsourcing – Identifying and Controlling the Real Risks Part 2 of 2: Choosing a CCO
The roles and responsibilities undertaken by Chief Compliance Officers (“CCOs”), whether in house or outsourced, is a significant point of interest for the Commission. Given
New Year, Same Requirements
Individual liability is quickly rising to the forefront of the radar of the Securities and Exchange Commission. In fact, over the last five years, 80%
Happy New Year and Important Reminders Regarding CCO Liability
As we begin a new year, our thoughts turn to our clients and friends who have made our progress possible. We are grateful to our
How to Make $13 Million Before the New Year
The SEC announced on December 13 that they have brought charges against a New Jersey man and his company for allegedly committing fraud in a
SEC Raises Awareness Surrounding CCO Outsourcing
Yesterday, the SEC indirectly affirmed that registered investment advisers and investment companies can outsource their CCO to an unaffiliated third party and satisfy their 206(4)-7(c)
SEC Provides Clarity on When and How the Enforcement Division Goes After CCOs
Yesterday, Director of the Enforcement Division of the Securities and Exchange Commission, Andrew Ceresney was the keynote speaker at the National Society of Compliance Professionals
The SEC Outdoes Itself Again Announcing A Record Year for Enforcement Action
The Securities and Exchange Commission announced on October 22, 2015 a comprehensive report describing the results of enforcement actions taken against advisers in fiscal year
The Hunt Continues: SEC Goes After Large Private Equity Firm for Undisclosed Fees
On October 7, 2015, the SEC announced a large settlement with a private equity firm charged with failure to disclose. The SEC said that the
COMPLIANCE SCIENCE SUMMIT 2015
When: November 17, 2015 Where: Convene Midtown East | 730 Third Avenue | New York, NY 10017 Janaya Moscony, President, SEC Compliance Consultants, Inc. will
