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,
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
