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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 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 »

Your CCO May Now Have An Incentive to Turn You In

The Securities and Exchange Commission today announced an award of more than a million dollars to a compliance officer who believed that disclosure to the SEC was necessary to prevent... read more »

SEC Charges Advisor with Failing to Disclose Conflict of Interest to Clients and…

The SEC has charged an advisor with failing to disclose a conflict of interest to their clients and fund boards. In this significant case, the SEC alleges that the firm... read more »

SEC Warns of Using Confidentiality Language to Stifle Whistleblowers

On April 1, 2015, the Securities and Exchange Commission announced its first ever enforcement action against a company for violating Dodd Frank’s whistle blower rules. In this case, the company was... read more »

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 »

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