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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,

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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,

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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,

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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

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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

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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

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