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 »


SEC Raises Awareness Surrounding CCO Outsourcing

Yesterday, the SEC indirectly affirmed that registered investment advisers and investment companies can outsource their CCO to an unaffiliated third party and satisfy their 206(4)-7(c) and 38(a)-1(a)(4) obligations. However, advisers... read more »

SEC Provides Clarity on When and How the Enforcement Division Goes After CCOs

Yesterday, Director of the Enforcement Division of the Securities and Exchange Commission, Andrew Ceresney was the keynote speaker at the National Society of Compliance Professionals National Conference in Maryland. His... read more »

The SEC Outdoes Itself Again Announcing A Record Year for Enforcement Action

The Securities and Exchange Commission announced on October 22, 2015 a comprehensive report describing the results of enforcement actions taken against advisers in fiscal year 2015, which ended in September.... read more »

The Hunt Continues: SEC Goes After Large Private Equity Firm for Undisclosed Fee…

On October 7, 2015, the SEC announced a large settlement with a private equity firm charged with failure to disclose. The SEC said that the firm failed to sufficiently disclose... read more »

Adviser Settles SEC Cyber Enforcement Action

The Securities and Exchange Commission announced on September 22, 2015 that an investment adviser has agreed to settle charges that it failed to establish the required cybersecurity policies and procedures... read more »

First Case Brought Under Distribution-in-Guise Initiative

On September 21, 2015, the Securities and Exchange Commission charged  an asset manager with improperly using mutual fund shareholder's assets to pay two unnamed brokerage firms to market and distribute... read more »



When: November 17, 2015 Where: Convene Midtown East | 730 Third Avenue | New York, NY 10017 Janaya Moscony, President, SEC Compliance Consultants, Inc. will be moderating a...


When: October 13, 2015 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 22nd Floor Boardroom Thomas Westle and Janaya Moscony, along with...

The SEC's Examination Priorities: What Every Private Fund Managers Need to Know …

In this CLE course, a panel of thought leaders and professionals organized by The Knowledge Group will provide the audience with an overview of the latest and remarkable issues...

Greenwich CCO Compliance Roundtable

When: June 24th 2015 Where: The Belle Haven Club | 100 Harbor Drive, Greenwich CT 06830

Miami Compliance Roundtable

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

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

Dallas CCO Compliance Roundtable

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

Phila Compliance Outreach Seminar

When: December 17th 2014 Where: Drinker Biddle & Reath LLP | One Logan Square, Ste. 2000, Philadelphia, PA 19103

IA Compliance Fall Conference 2014

When: September 22th, 2014 Where: Loews Philadelphia Hotel

NYC CCO Compliance Roundtable

When: September 23rd 2014 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room

GAIM Ops Ireland 2014

When: October 8-10th, 2014 Where: Powerscourt Hotel, Wicklow Ireland

Financial Services Roundtable Series

When: August 6th 2014 Where: Anchin Block & Anchin, 1375 Broadway, New York, NY, 23rd Floor

NYC CCO Compliance Roundtable

When: April 29th 2014 Where: Blank Rome LLP, The Chrysler Building, 405 Lexington Avenue, 22nd Floor Board Room

NSCP Dallas Regional Meeting

When: April 10, 2014 (8am-5pm) Where: Haynes and Boone, LLP 2323 Victory Avenue, Ste. 700 Dallas, TX 75219

GAIM Ops Cayman 2014

When: April 6-9th, 2014 Where: Ritz Carlton, Grand Cayman