CCO Liability (Part III): Managing Liability Webinar
Join the webinar to learn about personal liability insurance and indemnification strategies for Chief Complaince Officers.
President Janaya Moscony Interviewed by Julie DiMauro – Thomson Reuters
Interview with Janaya Moscony, president of SEC3, by Julie DiMauro from Thomson Reuters. Gain insights from this informative discussion.
Webinar: CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
Join the NSCP webinar sponsored by SEC Compliance Consultants on managing CCO liability. Learn about insurance options and indemnifications.
Webcast: SEC 2017 Examination Focus Area – Cybersecurity Testing
Join industry experts for a webinar on penetration testing and vulnerability assessments, examining SEC and FINRA cybersecurity requirements.
Wishing One-and-All a Happy, Healthy and Prosperous New Year
Discover CCO liability & insurance strategies for 2017. Stay informed on SEC regulatory compliance changes & mitigate risk.
Understanding How to Mitigate Liability and Navigate Insurance Options (Part II)
Learn about tail insurance tips for CCOs and managers. Understand coverage gaps and negotiate tail coverage in advance.
Chief Compliance Officer Roundtable: Breakfast Briefing
Join us at Blank Rome LLP in New York for a seminar on SEC compliance updates, cybersecurity, and recent enforcement cases.
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
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