Dallas CCO Compliance Roundtable
When: March 05, 2015 Where: The Crescent Club | 200 Crescent Court, 17th Floor, Dallas, TX 75201 Please join the Dallas investment management practice of
SEC Highlights Importance of Risk Assessments
The SEC stated in their 2015 Examination Priorities that, as was the case in prior years’ priorities, the Commission will conduct “focused, risk-based examinations”. This
SEC Issues Risk Alert with Cybersecurity Sweep Examinations Summary
On February 3, 2015, the SEC released their long-awaited Risk Alert reviewing the results of OCIE’s cybersecurity sweep examinations in 2014 that followed their April
SEC Announces Examination Priorities for 2015 – And New Year’s Resolutions for CCOs
As the SEC has been doing at the start of each year in recent years, the SEC announced its examination priorities for the new year.
Recent SEC Speech Highlights Continued Focus on Private Equity
In her recent keynote address at the Columbia Law School Conference on Current Issues in Securities Regulation (November 21, 2014), Commissioner Kara Stein stressed the
Phila Compliance Outreach Seminar
When: December 17th 2014 Where: Drinker Biddle & Reath LLP | One Logan Square, Ste. 2000, Philadelphia, PA 19103 Mark Dowdell Assistant Regional Director in the
Annual ADV Registration Fee Deadline
Registered investment advisers with state filings are required to annually renew their state ADV registration or their state notice filings of their federal ADV. They
Custody Rule Violations – Deliberate and Inadvertent
On October 29, 2014, the SEC charged a registered investment adviser, its two principals and the chief compliance officer with repeated violations of the Custody
SEC Announces Record Number of Enforcement Cases in 2014
The SEC announced that for its fiscal year that ended in September, it filed a record 755 enforcement actions covering a wide range of misconduct,
NYC CCO Compliance Roundtable
When: September 23rd 2014 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room Janaya Moscony, President of SEC Compliance Consultants,
IA Compliance Fall Conference 2014
When: September 22th, 2014 Where: Loews Philadelphia Hotel Janaya Moscony, President of SEC Compliance Consultants, Inc., will be a panelist at the conference speaking on
GAIM Ops Ireland 2014
When: October 8-10th, 2014 Where: Powerscourt Hotel, Wicklow Ireland What: Europe’s preeminent hedge fund event Linda Smith, Managing Director at SEC Compliance Consultants, Inc. will
