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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 Charges Private Equity Manager in First Ever Case Over Allocation of Broken …

The Securities and Exchange Commission recently charged a private equity firm for misallocating more than $17 million of “broken deal” expenses. Broken deal expenses are those associated with identifying, researching... read more »

What the SEC’s New Cybersecurity Guidance Means for Investment Advisers and Inve…

By Janaya Moscony, CFA; Irshad Karim; Linda Smith; Claire Owens, SEC Compliance Consultants Published: NSCP Currents May 2015 The SEC has made cybersecurity a significant point of interest for 2015 through their... read more »

SEC Sanctions Investment Adviser for Failure to Devote Resources to Compliance F…

The SEC recently settled a proceeding brought against an investment adviser firm, its former President, and other principals at the firm where the compliance function was not adequately staffed and... read more »

SEC Proposes Extensive Amendments to Form ADV as Well as New Reporting Requireme…

On May 20, 2015, the SEC unanimously approved extensive proposed amendments to Form ADV that, if adopted, would require registered investment advisers to provide new information, including additional disclosure relating... read more »

SEC Continues Heavy Focus on Private Equity

The SEC is continuing to focus heavily on the private equity sector, reminding advisers in this space to be mindful of their practices. On May 13, 2015, Mark Wyatt, Acting... read more »

SEC Issues New Cybersecurity Guidance for Investment Advisers and Investment Com…

The SEC’s Division of Investment Management recently released new guidance to registered investment advisers and investment companies regarding cybersecurity. The SEC has previously identified cybersecurity as an important issue and... read more »

Events

GAIM Ops Cayman 2015

When: April 26-29th, 2015 Where: Ritz Carlton, Seven Mile Beach | Grand Cayman, Cayman Islands

Miami Compliance Roundtable

When: March 30th 2015 Where: Kaufman Rossin Fund Services | 2699 Bayshore Drive, Miami FL 33133

Dallas CCO Compliance Roundtable

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