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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

Recent SEC Speech Highlights Continued Focus on Private Equity

In her recent keynote address at the Columbia Law School Conference on Current Issues in Securities Regulation (November 21, 2014), Commissioner Kara Stein stressed the importance of transparency in securities... read more »

Annual ADV Registration Fee Deadline

Registered investment advisers with state filings are required to annually renew their state ADV registration or their state notice filings of their federal ADV. They are... read more »

Custody Rule Violations - Deliberate and Inadvertent

On October 29, 2014, the SEC charged a registered investment adviser, its two principals and the chief compliance officer with repeated violations of the Custody Rule (Rule 206(4)-2 under the... read more »

SEC Announces Record Number of Enforcement Cases in 2014

The SEC announced that for its fiscal year that ended in September, it filed a record 755 enforcement actions covering a wide range of misconduct, and obtained orders totaling $4.16... read more »

New SEC Guidance for Investment Advisers’ Obligations Regarding Proxy Voting

The SEC’s Divisions of Investment Management and Corporation Finance recently provided guidance (the “Guidance”) to investment advisers regarding their obligations in voting client proxies and retaining proxy advisory firms. ... read more »

Steps Directors Can take to Avoid SEC Enforcement

SEC Chair Mary Jo White recently shared steps directors can take to meet various SEC expectations. At the annual Stanford Directors’ College, Chair White highlighted the important role directors play... read more »

Events

Phila Compliance Outreach Seminar

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

GAIM Ops Ireland 2014

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

IA Compliance Fall Conference 2014

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