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.
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!
Lessons from 2024: Tips for Private Fund Managers
As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025.
Regulatory Roundup for December 2024
Welcome to our December 2024 Regulatory Roundup, where we provide practical advice on the latest regulatory headlines. We start this issue with the SEC’s 2024 enforcement results, which fell somewhat short after its 2023 banner year. We also say goodbye to SEC Chair Gary Gensler, who tendered his resignation after Donald J. Trump won his presidential bid. Given the president-elect’s views on government, I expect the next chair to have a less aggressive regulatory agenda. For firms following the ongoing drama in the Fifth Circuit Court of Appeals about the Corporate Transparency Act, the current answer as of December 26 is that the requirements to report Beneficial Ownership are stayed. But stay tuned since that answer may change once again. Finally, I included a few enforcement cases, one on the misappropriation of client funds and two on cherry-picking. I want to highlight that in two cases, the firm was sanctioned for failure to discover and detect the nefarious activity. In the third (the cherry-picking complaint), the individual responsible, not the firm, was charged. This appears to be due, at least in part, to the efforts of the Chief Compliance Officer. The SEC highlighted the CCO’s training and messaging that emphasized the need to follow the firm’s aggregation and allocation procedures. Compliance officers should take notice.
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.
