Predictions for 2025: What Private Fund Advisers Can Expect from SEC Examinations
Check out the latest trends we are seeing in SEC examinations for private fund managers, including a sharper focus on conflicts of interest, fee transparency, and compliance with evolving regulatory expectations.
SEC3 Gets Readers’ Choice Award for Thought Leadership in Compliance from JD Supra
SEC Compliance Consulting, Inc. (SEC3) is excited to announce that we have been recognized for thought leadership in the compliance space by JD Supra, as part of its 2025 Readers’ Choice Awards!
The Most Wonderful Time of the Year: Form ADV Season
Check out our latest tips on updating your Form ADV.
Regulatory Roundup for January 2025
Welcome to our January 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines.
Lessons from 2024: Tips for Private Fund Managers
As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025.
Regulatory Roundup for December 2024
Stay informed with our December 2024 Regulatory Roundup, covering key SEC enforcement trends, leadership transitions, and crucial compliance lessons for investment advisers.
Tips for Updating Your Compliance Program in 2025
Discover the key updates your compliance program needs in 2025 to stay ahead of SEC scrutiny and protect your firm from costly missteps.
Advisers’ Year-End Checklist for 2024
Compliance officers love checklists, so we’ve put together some “to dos” to consider completing before the end of the year. Enjoy! Get out Your Checkbook
Regulatory Roundup for October and November 2024
Thanks to the SEC for No New Rules, Unsurprising 2025 Exam Priorities and Lessons on Greenwashing, Valuation Shortcuts and Registration Requirements for Affiliates.
September Surprise: SEC Finds Gaps in MNPI Controls for CLO Manager
In the SEC’s burst of settlements at the end of its fiscal year, one case about the potential misuse of material nonpublic inside information (“MNPI”)
Regulatory Roundup for September 2024
Advisers Drafted by FinCEN for AML Duty, More Fines for E-Comm Retention Failures and a September Miracle, SEC Falls Back on Broken Windows Strategy, and a Refusal to Give Up on Private Fund Rules.
Nine More Advisers Face $1.24 Million Fallout from SEC’s Marketing Rule Sweep
September 30 is the SEC’s fiscal year-end, so it’s no surprise to see an uptick in enforcement cases this month. The latest slew of settlements