2023 SEC Exam Priorities
In February, the SEC’s Division of Examinations announced its 2023 National Exam Priorities. The following article outlines the SEC3 Team’s take on how compliance officers
SEC Proposes Changes to Safeguarding Rule for Registered Investment Advisers
Yesterday, the SEC proposed rule changes designed to enhance protections of assets managed by Registered Investment Advisers. If adopted, the changes would update the Advisers
2023 SEC Exam Priorities
Last week, the SEC’s Division of Examinations (the Division) announced its 2023 National Exam Priorities. The SEC identified several broad areas of focus highlighting four
Risk Alert: Observations from Broker-Dealer Examinations
On January 30, 2023, the U.S. Securities and Exchange Commission Division of Examinations released a Risk Alert regarding Regulation Best Interest (“Reg BI”). Focused on
SEC Proposes Amendments to Ethics Rules for Commission Employees
On January 30, 2023, the U.S. Securities and Exchange Commission (“SEC”, “Commission”) proposed amendments to its ethics rules that govern the Commission’s employees, their spouses,
You are not out of the Woods!
The SEC recently announced a settlement with Bloomberg Finance L.P. (“Bloomberg”) in regard to civil charges accusing the company of providing misleading disclosures relating to
SEC3 Announces the Addition of New Director of Operations
SEC Compliance Consultants, Inc. (SEC3) is pleased to announce the addition of a new Director of Operations, Ji Kim. As Director of Operations, Ji will
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,
