SEC3 Gets Readers’ Choice Award for Thought Leadership in Compliance by JD Supra
SEC Compliance Consulting, Inc. (SEC3) has been recognized for its thought leadership in the compliance space by JD Supra, as part of its 2025 Readers’ Choice Awards. The Readers’ Choice Awards recognize top authors and firms read by C-suite executives, in-house counsel, media, and other professionals across the JD Supra platform during 2024. This year’s awards recognize 344 authors selected from among the more than 70,000 who published on the platform during 2024, highlighting firms for their thought leadership across 33 main topics.
Jaqueline Hummel, Director of Thought Leadership for SEC3, was ranked number 7 in Compliance, selected from a pool of over 2,600 authors covering FCPA, governance, enforcement actions, corporate culture, risk management and a wide range of other compliance-related topics in 2024. The awards are based on reader data and recognize authors who achieved the highest visibility and engagement among readers in their respective practice areas.
Need assistance with your compliance program? SEC’s team of experienced compliance professionals can help. For more information, please email us at info@sec3ccompliance.com, call (212) 706-4029 x 229, or visit our website at www.sec3compliance.com.
SEC3 provides links to other publicly available legal and compliance websites for your convenience. These links have been selected because we believe they provide valuable information and guidance. The information in this e-newsletter is for general guidance only. It does not constitute the provision of legal advice, tax advice, accounting services, or professional consulting of any kind.
Regulatory Roundup for February and March 2025
Welcome to our February and March 2025 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with some clarifications about performance advertising under the SEC’s Marketing Rule and a new rule that requires Commission approval before the Division of Enforcement can use its full investigative powers. Next, we review the SEC’s changes in its attitude toward crypto assets, indicating a more measured regulatory approach. Similarly, the Division of Corporate Finance relaxes the “general solicitation” Rule 506(c) under Regulation D, allowing issuers more leeway in determining whether investors are truly accredited. Then we see the new U.S. President flexing his executive muscle by requiring a White House review of all new regulations. The Treasury Department backs off the beneficial ownership reporting requirements under the Corporate Transparency Act. We will also discuss how the SEC also took pity on institutional investment managers by granting a one-year exemption from reporting short sale data (Form SHO) – until February 17, 2026. Finally, we discuss a few of the latest SEC settlement orders. Enjoy!
7 Ugly Truths About Compliance: a Primer for New Chief Compliance Officers
Being a Chief Compliance Officer is an important job but before you accept the offer, there a few things you should know. Enjoy!
Predictions for 2025: What Private Fund Advisers Can Expect from SEC Examinations
There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to become more lenient on private equity and hedge fund managers. Instead, we anticipate SEC staff becoming less focused on “rulemaking through enforcement” and (hopefully) imposing more moderate sanctions than those under Chair Gensler. SEC examiners now, more than ever, feel the pressure to show their value.
SEC3 Gets Readers’ Choice Award for Thought Leadership in Compliance from JD Supra
SEC Compliance Consulting, Inc. (SEC3) has been recognized for its thought leadership in the compliance space by JD Supra, as part of its 2025 Readers’ Choice Awards. The Readers’ Choice Awards recognize top authors and firms read by C-suite executives, in-house counsel, media, and other professionals across the JD Supra platform during 2024. This year’s awards recognize 344 authors selected from among the more than 70,000 who published on the platform during 2024, highlighting firms for their thought leadership across 33 main topics.
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. We start this issue with the appointment of the SEC’s acting Chair, Mark Uyeda. Next, we recap the SEC’s report on its aggressive enforcement efforts in the first quarter of 2025. Finally, we discuss a few of the latest SEC settlement orders, including issuers getting fined for failing to file Form D for unregistered offerings, two cases on fiduciary duty fails, and one more “off-channel” communications case that highlights what a firm did right (for once). Enjoy!
For over two decades, we have been providing compliance consulting services and servicing as outsourced Chief Compliance Officers. Our professionals have served as SEC regulators and in senior leadership, guiding the industry’s principal compliance association. Our consultants also have hands-on industry experience as chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
What can SEC3 do for you?
SEC3 offers an extensive suite of customizable compliance services for investment advisers, private fund advisers, CPOs, CTAs, investment companies, institutional investors and broker-dealers which can complement your internal compliance program on a one-time or recurring basis depending on your needs.
Call us today at (212) 706-4029 x 229, or shoot us an email at info@SEC3compliance.com so we can set up a time for one of our consultants to discuss your needs and how we can help.
