Sitemap
Posts
- September Surprise: SEC Finds Gaps in MNPI Controls for CLO Manager
- SEC3 Welcomes Seasoned Chief Compliance Officer, Mark Gilbert, as Senior Compliance Consultant
- Regulatory Roundup for September 2024
- Nine More Advisers Face $1.24 Million Fallout from SEC’s Marketing Rule Sweep
- Regulatory Roundup for August 2024
- How Much Testing Is Enough?
- Regulatory Roundup for July 2024
- Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About
- Regulatory Roundup for June 2024
- What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024
- Regulatory Roundup for May 2024
- SEC Tells Advisers What Not to Do in Advertisements
- Write the Best Annual Compliance Review Ever!
- Top Tips for Updating Your 2024 Compliance Program
- Capture if you Can: SEC3’s New Director of Thought Leadership Participates in Global Relay Free Webinar on E-Comms Liability
- SEC Announces Five More Settlements from Marketing Rule Sweep
- Top Ten Reasons to Hire an RIA Compliance Consulting Firm
- Compliance Roundup for April 5, 2024
- 2024 Predictions
- Happy New Year!
- Navigating 2024 SEC Exam Priorities: Insights from Compliance Experts Webinar Presented by Orion
- HAPPY THANKSGIVING FROM SEC³!
- The SEC in 2024: What Investors Should Know Organized by Castle Hall
- SEC Enforcement Results for Fiscal Year 2023
- 2024 SEC Exam Priorities
- SEC Charges Firm for Violating Whistleblower Protection Rule
- SEC Rule Amendments from Last Week
- Practical Lessons from the Marketing Rule Sweep
- Risk Alert: Assessing Risks, Scoping Examinations, and Requesting Documents
- John Lukan to Speak at 2023 NSCP National Conference
- SEC Adopts Significant Changes to Rules Governing Private Fund Advisers
- SEC Proposes Changes to the Internet Adviser Exemption
- Form N-PX Amendment Reminder
- SEC Charges Firm for Disclosure and Policies and Procedures Failures
- Risk Alert: Examinations Focused on Additional Areas of the Adviser Marketing Rule
- SEC Continues to Charge Firms with Widespread Recordkeeping Failures
- SEC Adopts Amendments to Enhance Private Fund Reporting
- Understanding the Impact of the Proposed Amendments to Beneficial Ownership Reporting
- SEC Exam Tips
- Form PF Reminder for Advisers to Private Funds
- How to Make Sure Your Newly Registered Adviser is Compliant with the SEC
- Recent SEC Examination Request Lists – Marketing Section
- Silicon Valley Bank and Investment Advisers
- 2023 SEC Exam Priorities
- SEC Proposes Changes to Safeguarding Rule for Registered Investment Advisers
- 2023 SEC Exam Priorities
- Risk Alert: Observations from Broker-Dealer Examinations
- SEC Proposes Amendments to Ethics Rules for Commission Employees
- You are not out of the Woods!
- SEC3 Announces the Addition of New Director of Operations
- Senior Compliance Consultant
- Compliance Consultant
- Orion’s National Ascent 2023
- No Detail Too Small!
- Happy New Year!
- Happy Thanksgiving! SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2022
- Don’t Miss this Discussion Tomorrow–Mastering Trade-Related Communications Monitoring
- Ignorance Is Not Bliss: Know All the Ways Your Staff Communicate
- New Marketing Rule Risk Alert
- 2022 Exam Insights and SEC Priorities: Part 2
- Investment Adviser MNPI Compliance Issues
- 2022 Exam Insights and SEC Priorities: Part 1
- 2022 Examination Priorities
- What Happened to Regulators Focusing on Retail Clients?
- The SEC Continues to Improve its Assessments in the Private Fund Space
- SEC Chairman Gensler Speaks – More Rules and Disclosure?
- Happy New Year!
- Enforcement Trends – Fiscal Year 2021
- Insights on Form CRS Expectations That You Won’t Find in the FAQs
- SEC Sanctions Firms over Cybersecurity Incident Responses
- Form CRS Exam Sweep & Enforcement
- First Impressions & New Registrant Examinations
- SEC Form CRS Enforcement Directed Sweep in Full Swing
- New York Requiring Representatives of Federally Covered RIAs and Solicitors to Register
- Webinar: Changes on the Horizon—Being Prepared for Regulatory Expectations and Evolving Trends in 2021
- SEC’s Holiday Gift–New Advertising Rule Adopted
- Staying Current – SEC Updates
- Business Continuity & Succession Plans
- Virtual Chief Compliance Officer Roundtable: Fall 2020 Update
- Electronic Communications–What Should CCOs Be Asking?
- How Would You Rate Your Pandemic Risk Assessment & Testing Program?
- SEC Expands Scope of Examinations to Include COVID-19
- SEC Releases COVID-19 Compliance Risks and Considerations for IAs and BDs
- Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19
- SEC Exam Focus Updates 2020
- Working From Home
- Chief Compliance Officer Roundtable: Breakfast Briefing – February 25, 2020
- OCIE’s 2020 NATIONAL EXAM PROGRAM PRIORITIES
- SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
- Disclosure Can Be SO Scary
- SEC3 Updates
- The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2
- OCIE RISK ALERT – Insight Into Supervision Related Expectations
- D&O Liability Insurance Considerations for Financial Institutions
- Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1
- Have You Documented Your Data Storage Vendor Due Diligence?
- Chief Compliance Officer Roundtable: Breakfast Briefing – June 5, 2019
- Latest From FINRA
- 79 Advisers Self Report and $125 Million Returned to Investors
- CFTC Releases Exam Priorities
- FINRA’S Box of Chocolates
- A Motivated Agency: The SEC Closing the Loop on the Edgar System Cyber Breach
- Examiners Take Reprieve with Gov’t Shut Down, But CCOs Must Carry On
- Chief Compliance Officer Roundtable: Breakfast Briefing – November 8, 2018
- Pre-Dating & Back-Dating are Equally Risky
- Fiduciary Duty
- Dorsey PF 2018 Symposium
- Outsourced Chief Compliance Officer
- Exciting Summer Project — Dig Into Some Sand or Dig Into Your Firm’s Best Ex Process?
- SEC Adopts Fund Liquidity Reporting and Disclosure Changes
- More SEC Settlements – This Time Form PF Filing Deficiencies
- Chief Compliance Officer Roundtable: Breakfast Briefing
- Two Recent Enforcement Actions Against Private Fund Advisers
- Webinar: 2018 SEC Exam Priorities & Recent Exam Highlights
- Tips for SEC Exam Preparedness
- 2018 – Are you ready for your next SEC exam?
- Chief Compliance Officer Roundtable: Breakfast Briefing – February 7, 2018
- Navigating the Changes to Form ADV
- Overlooked Benefits of E&O/D&O
- Upcoming Events – September & October 2017
- May 23, 2017 – Webcast: WannaCry Ransomware: Were You Really Protected or Just Lucky
- June 14, 2017 – Compliance Breakfast Briefing
- June 13, 2017 – Compliance Breakfast Briefing
- May 31, 2017 – Chicago
- May 17, 2017 (NYC WIMF)
- May 15, 2017 (NYC Chief Compliance Officer Roundtable)
- SEC3 Upcoming Events
- Webcast: The Most Insidious Cybersecurity Threat Is Also The Least Understood
- SEC3 Newsletter
- CCO Liability (Part III): Managing Liability Webinar
- President Janaya Moscony Interviewed by Julie DiMauro – Thomson Reuters
- Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability
- Webinar: CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
- Webcast: SEC 2017 Examination Focus Area – Cybersecurity Testing
- Wishing One-and-All a Happy, Healthy and Prosperous New Year
- CCO Liability: Managing Liability: Navigating Indemnities and Insurance Options
- Understanding How to Mitigate Liability and Navigate Insurance Options (Part II)
- Chief Compliance Officer Roundtable: Breakfast Briefing
- Practicing Law Institute – Hedge Fund Management 2016
- Cybersecurity – What have we learned and what have we done?
- Gatekeepers in SEC Crosshairs
- Anna M. Bencrowsky, CRCP, CMFS Joins SEC3
- Understanding How to Mitigate Liability and Navigate Insurance Options
- Are you ready for your next SEC exam?
- CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
- Liability and Outsourcing – Identifying and Controlling the Real Risks Part 2 of 2: Choosing a CCO
- New Year, Same Requirements
- Happy New Year and Important Reminders Regarding CCO Liability
- How to Make $13 Million Before the New Year
- SEC Raises Awareness Surrounding CCO Outsourcing
- SEC Provides Clarity on When and How the Enforcement Division Goes After CCOs
- The SEC Outdoes Itself Again Announcing A Record Year for Enforcement Action
- The Hunt Continues: SEC Goes After Large Private Equity Firm for Undisclosed Fees
- COMPLIANCE SCIENCE SUMMIT 2015
- Adviser Settles SEC Cyber Enforcement Action
- First Case Brought Under Distribution-in-Guise Initiative
- New Cybersecurity Risk Alert Announcing Second Round of Cybersecurity Sweep Exams
- CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
- Anti-Money Laundering Regulation—Third Time’s the Charm?
- Cybercrime Meets Insider Trading
- The SEC’s Examination Priorities: What Every Private Fund Managers Need to Know in 2015 LIVE Webcast
- SEC exam prep: What to expect in second half 2015
- SEC Charges Private Equity Manager in First Ever Case Over Allocation of Broken Deal Expenses
- What the SEC’s New Cybersecurity Guidance Means for Investment Advisers and Investment Companies
- SEC Sanctions Investment Adviser for Failure to Devote Resources to Compliance Function
- Greenwich CCO Compliance Roundtable
- SEC Proposes Extensive Amendments to Form ADV as Well as New Reporting Requirements for RIAs and RICs
- SEC Continues Heavy Focus on Private Equity
- SEC Issues New Cybersecurity Guidance for Investment Advisers and Investment Companies
- Your CCO May Now Have An Incentive to Turn You In
- SEC Charges Advisor with Failing to Disclose Conflict of Interest to Clients and Fund Boards
- SEC Warns of Using Confidentiality Language to Stifle Whistleblowers
- SEC Reminds Advisers of the Need for Gifts and Entertainment Policies
- Miami Compliance Roundtable
- SEC to Conduct Second Phase of Cybersecurity Sweep
- Permanent Bars as an Effective Deterrent
- Adviser Sanctioned for Inadequate Compliance Policies and Procedures
- NSCP Canadian Conference
- Dallas CCO Compliance Roundtable
- SEC Highlights Importance of Risk Assessments
- SEC Issues Risk Alert with Cybersecurity Sweep Examinations Summary
- SEC Announces Examination Priorities for 2015 – And New Year’s Resolutions for CCOs
- Recent SEC Speech Highlights Continued Focus on Private Equity
- Phila Compliance Outreach Seminar
- Annual ADV Registration Fee Deadline
- Custody Rule Violations – Deliberate and Inadvertent
- SEC Announces Record Number of Enforcement Cases in 2014
- NYC CCO Compliance Roundtable
- IA Compliance Fall Conference 2014
- GAIM Ops Ireland 2014
- Financial Services Roundtable Series
- New SEC Guidance for Investment Advisers’ Obligations Regarding Proxy Voting
- Steps Directors Can take to Avoid SEC Enforcement
- Understanding SEC Enforcement
- SEC Risk Alert – Cyber Security
- NYC CCO Compliance Roundtable
- GAIM Ops Cayman 2014
- NSCP Dallas Regional Meeting
- GAIM Ops Cayman 2015
- If You Have Never Been Examined by the SEC, Get Ready
- GAIM Regulation 2014
- SEC National Exam Program 2014 Exam Priorities
- The Volcker Rule adopted after a 3-year wait
- The Importance of Effective Compliance Programs in Preventing Enforcement Actions
- Compliance Policies & Procedures Webinar
- Hot Topics in National Futures Association Audits
- Why We Don’t See the SEC’s New Rules Implementing the Jobs Act Altering the Way Hedge Funds Market in the Short Run
- GAIM Ops International 2013
- 6th Annual Sub-Advised Funds Compliance Forum
- Weeding out the Bad Actors
- SEC and European Regulators Establish Supervisory Cooperation Arrangements
- The SEC lifts the ban on General Solicitation
- Latest cease and desist order – Northern Lights and Gemini
- First Filing of Form NFA-PQR for CPOs and Form NFA-PR for CTAs
- NYC CCO Compliance Roundtable
- Phila Compliance Outreach Seminar
- NYC CCO Compliance Roundtable
- National Society of Compliance Professionals East Coast Meeting
- Mutual Funds – New SEC Sweep Exams and More
- Update: Marc Gabelli and Bruce Alpert vs SEC
- SEC Announces 2013 Examination Priorities
- Filing Dates for Form CPO-PQR and Guidelines for Calculating Assets under Management
- Reminder: CFTC Annual Affirmation of Exemptions
- Mutual Fund Securities Lending Programs – Who earns the Revenue?
- SunGard Compliance Summit 2013
- GAIM Ops Cayman Islands 2013
- US Supreme Court – Marc Gabelli and Bruce Alpert vs SEC
- SEC Enforcement Focus Areas for Private Equity Fund Managers
- SEC Enforcement Examinations?
- “Exempt reporting advisers” ? new SEC class with oxymoron for a name
- SEC Enforcement 2
- Important November Regulatory Developments
- Record Year of Enforcement Actions against Investment Advisers
- NYC CCO Compliance Roundtable
- The SEC’s Continuing Trend of Identifying Aberrational Performance
- Series 3 Exam – Who Does Not have to Take
- Who Does Not Have to Take the Series 3?
- COPY OF Who Does Not Have to Take the Series 3?
- SEC Presence Exam Letter
- Sub-Advised Funds Compliance Forum
- Sub-Advised Funds Compliance Forum
- NYC CCO Compliance Roundtable
- SEC “Presence” Exams – Four Focus Areas
- IA Compliance Fall Conference 2012
- Form PF Boot Camp – Sept 7, 2012
- New NFA Rules Affecting “Swap Firms” and New CFTC Guidance on CPOs/CTAs Compliance Obligations
- Lifting the Ban on General Solicitation and Advertising for Private Funds
- SEC’s New Exam Format
- The Life of a CCO: Third in a series
- SEC Exams Tips
- The Importance of Risk Assessment and Forensic Testing for Investment Advisers
- OCIE Exam Process Overview
- Two SEC Exam Request Lists – 2012
- SEC Adviser Examinations – Are You Ready?
- The Chief Compliance Officer – Compliance Manager or Risk Manager?
- Past Events
- NY Bar – Client Email
- The Life of a CCO: Second in a Series
- The Life of a CCO: One in a Series
- Taking the Series 3
- When should newly registered private fund managers expect to be examined by the SEC?
- SEC3 Makes Key Hire to bolster Our Expanding Hedge Fund Compliance Business
- Goodbye CFTC Exemptions – Hello Registration?
- GAIM Ops Cayman Islands 2012
- SEC Compliance Training
- Mutual Fund Administrators
- JOBS Act
- SunGard Compliance Summit
- Greenwich CT Investment Adviser Compliance Roundtable
- NYC CCO Compliance Roundtable
- Treasury Filings
- How bright are expert networks blinking on the SEC’s radar screen?
- Janaya Moscony quoted in Wall Street Journal Fraud Risk Article
- CNN: Hedge fund regulation? What hedge fund regulation?
- SEC Registration Deadline: What We Can and Can’t Tell You
- Beware: Making Political Contributions Could Limit your Business Opportunities
- NYC CCO Compliance Roundtable
- Avoiding a Public Offer Through Private Fund Materials and Communications
- Application of the Adviser Act’s Advertising Rule to Private Fund Managers
- Procrastination…
- The Hedge Fund Registration Master Class
- Private Fund Adviser Registration
- Guide to SEC Registration for Private Fund Managers
- SEC3 Offers Private Fund Registration and Compliance Services
- SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers
- SEC Chicago letter resend to non-opens
- SEC Chicago Letter – A precursor for private funds
- GS Case Will Ripple Through Industry
- Reg SHO – “SHO” me the money
- Changing Paradigm at the SEC
- Reconciling Hedge Funds, the SEC and Material Non-Public Information
- The Industry Speaks and the SEC Listens
- Risk: Operational vs Investment Risk
- Private Fund Due Diligence
- Guide to SEC Registration of Private Funds
- SEC3 Article Published by HedgeWorld
- Broker / Dealers
- Investment Companies
- Private Fund Adviser Registration and Compliance
- Hedge Fund Registration
- Investment Advisers
- Janaya Moscony
- Decoding Compliance Buzzwords:The Practical Application of Risk Assessment & Forensic Testing
- Whats on the SEC’s Radar – Top Ten
- Why Private Funds Require Operational Due Diligence
- Hedge Fund Registration – SEC3 Publishes Hedge Fund Guide to SEC Registration
