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SEC3 and CCO3helping organizations bridge the SEC compliance knowledge gap

Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators. learn more »

 

SEC3 is a recognized industry leader providing independent regulatory and compliance services.

We offer a full suite of compliance and regulatory services to hedge fund, private equity and real estate managers and other advisers as well as investment companies and broker-dealers. learn more »

 

CCO3 is a leading provider of Mutual Fund Chief Compliance Officer outsourcing

Our outsourced Mutual Fund CCO solution provides a highly qualified named CCO supported by a team of experienced professionals. The result? Company directors and trustees feel confident that regulatory liability is expertly managed and under control. learn more »

Communiques

SEC Reminds Advisers of the Need for Gifts and Entertainment Policies

In February 2015, the SEC’s Division of Investment Management issued guidance to the public with respect to the conflict of interest that arises when individuals and firms doing business, or... read more »

SEC to Conduct Second Phase of Cybersecurity Sweep

After completing a sweep of 100 firms focusing on preparedness concerning cybersecurity in 2014 and subsequently releasing their summary findings in February 2015, the SEC is poised to begin a... read more »

Permanent Bars as an Effective Deterrent

At the SEC Speaks 2015 Program on February 20, 2015, two SEC Commissioners gave their personal remarks on the Commission seeking permanent bars on wrongdoers to prevent further misconduct by... read more »

Adviser Sanctioned for Inadequate Compliance Policies and Procedures

In January 2015, the SEC settled an action against a registered investment adviser who agreed to several findings of violations of the Investment Adviser Act of 1940 including: failure to create... read more »

SEC Highlights Importance of Risk Assessments

The SEC stated in their 2015 Examination Priorities that, as was the case in prior years’ priorities, the Commission will conduct “focused, risk-based examinations”. This guidance confirms that... read more »

SEC Issues Risk Alert with Cybersecurity Sweep Examinations Summary

On February 3, 2015, the SEC released their long-awaited Risk Alert reviewing the results of OCIE's cybersecurity sweep examinations in 2014 that followed their April 2014 Risk Alert on cybersecurity... read more »

Events

Dallas CCO Compliance Roundtable

When: March 05, 2015 Where: The Crescent Club | 200 Crescent Court, 17th Floor, Dallas, TX 75201

NSCP Canadian Conference

When: March 4th 2015 (8:00am-4:00pm) Where: St. Andrew’s Club & Conference Centre | 150 King Street West Toronto, Ontario M5H 1J9

Adviser Sanctioned for Inadequate Compliance Policies and Procedures

In January 2015, the SEC settled an action against a registered investment adviser who agreed to several findings of violations of the Investment Adviser Act of 1940 including: failure to create...