Senior Compliance Consultant
SEC Compliance Consultants, Inc. (SEC3) helps organizations bridge the SEC compliance knowledge gap. SEC3 is a regulatory compliance consulting firm serving investment advisers, private funds,
Compliance Consultant
SEC Compliance Consultants, Inc. (SEC3) helps organizations bridge the SEC compliance knowledge gap. SEC3 is a regulatory compliance consulting firm serving investment advisers, private funds,
Orion’s National Ascent 2023
When: February 27, 2023 – March 2, 2023 Where: Orlando World Center Marriott – Orlando, FL SEC3 will be sponsoring Orion’s National Ascent 2023 Conference in Orlando,
No Detail Too Small!
The SEC recently charged a former BlackRock portfolio manager for failing to disclose a conflict of interest. The portfolio manager was found to have requested
Happy New Year!
We certainly hope that everyone had a wonderful holiday season and is well rested. I recently found myself interrupted during time I had allocated to
Happy Thanksgiving! SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2022
Happy Thanksgiving! It is a beautiful time of year when we focus even more on being grateful for all the blessings in our lives. Gratitude
Don’t Miss this Discussion Tomorrow–Mastering Trade-Related Communications Monitoring
Tomorrow, FTF is hosting a webinar: Mastering Trade-Related Communications Monitoring. Janaya Moscony will moderate the panel. The webinar will discuss the difficulty firms are facing in navigating
Ignorance Is Not Bliss: Know All the Ways Your Staff Communicate
The SEC announced charges in a September 28 release against 15 prominent brokerage firms and an adviser for failures related to maintenance of books and records for
New Marketing Rule Risk Alert
In a September 19, 2022 SEC Risk Alert, advisers have been put on notice for compliance with the modernization to investment adviser marketing rules. The title
2022 Exam Insights and SEC Priorities: Part 2
July 2022 By Janaya Moscony, Brian Robling and John Lukan Click here to read the full article.
