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Articles & White Papers

Research performed and published by SEC3 and CCO3 professionals and other relevant information.

These compliance articles are provided for informational and education purposes. We suggest reviewing our Communique section - it is frequently updated with the latest actionable compliance information for today's busy compliance executives.

Guide to SEC Registration of Private Funds

Private Fund Adviser Registration - A white paper prepared by SEC3 describing the SEC registration process for hedge funds and private equity funds pursuant to the Private Fund Investment Advisers Registration Act of 2010.

Read more: Guide to SEC Registration of Private Funds

 

SEC3 Article Published by HedgeWorld

October 01, 2009

Today, HedgeWorld.com published an article written by Janaya Moscony and Jose Santiago, both of SEC Compliance Consultants, Inc.

The article entitled SEC Registration of Private Fund Investment Advisers - It's Not as Scary as You Think takes a look at many current hedge fund practices and draws the conclusion that many hedge funds already have policies and procedures in place in certain areas which are pretty close to meeting the SEC's requirements concerning written policies and procedures.

The article was also shared with SEC3's CCO Communiqué distribution list.  A copy can be found in our Library.

 

Whats on the SEC's Radar - Top Ten

This past July the SEC published a Compliance Alert summarizing issues found during recent examinations. The following ten discussion items address the top areas addressed by SEC staff in speeches and not surprisingly, the top areas reviewed during SEC examinations.

Read more: Whats on the SEC's Radar - Top Ten

 

Decoding Compliance Buzzwords:The Practical Application of Risk Assessment & Forensic Testing

Risk assessment is a phrase used to describe the process of identifying and estimating the exposure to real and potential risks. Forensic testing is colorful shorthand to refer to periodic tests used to evaluate the effectiveness of controls. However, the application of these notions goes beyond the simple definitions since risk assessment and forensic testing are pillars for a sound compliance program.

Read more: Decoding Compliance Buzzwords:The Practical Application of Risk Assessment & Forensic Testing

 

Hedge Fund Registration - SEC3 Publishes Hedge Fund Guide to SEC Registration

July 16, 2009

Hedge Fund Registration with SEC - SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers.

On July 15th, 2009, The U.S. Department of the Treasury proposed amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act") that would have significant implications to advisers to private pools of capital such as hedge funds, venture capital funds, private equity funds, and other private pools including both U.S. and non-U.S. domiciled products.

Under the proposal, all advisers with assets under management greater than $30 million and either domiciled in the U.S. or with greater than 10% of their investors being U.S. persons would be required to register with the SEC.

Our Guide offers a step by step examination of the registration process, the on-going requirements and a look at the costs associated with complying and the costs of non-compliance.

Visit our Library to access a copy or our Private Fund Registration page.

 

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Newsletter

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Communiques

More SEC Settlements - This Time Form PF Filing Deficiencies

On June 1st, the SEC announced settlements with 13 RIAs who repeatedly failed to file Form PF reports. Most of these firms never filed over the review period (2012 through... read more »

Two Recent Enforcement Actions Against Private Fund Advisers

The industry should not misinterpret the SEC’s 2018 National Exam Program Priorities as a shift away from private fund advisers. As discussed during the SEC’s recent National Compliance Outreach Seminar... read more »

2018 - Are you ready for your next SEC exam?

The pool of registered investment advisers that will be subject to an SEC exam in 2018 is at the highest level seen in years. The SEC projects it will examine... read more »

Navigating the Changes to Form ADV

On August 25, 2016, the U.S. Securities and Exchange Commission adopted numerous substantive and technical amendments to Form ADV. While the adopting release required advisers to begin complying with the... read more »

Overlooked Benefits of E&O/D&O

While asset managers should always be aware of the protections provided by their E&O/ D&O coverage, there are more reasons than ever to think about it now. The SEC continues to... read more »

SEC3 Newsletter

Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service for compliance and risk professionals and is... read more »

Events

Chief Compliance Officer Roundtable: Breakfast Briefing - June 14, 2018

When: June 14, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000 Schedule: 9:00-9:30am - Networking...

Webinar: 2018 SEC Exam Priorities & Recent Exam Highlights

Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you. Tobin S. Cochran, Managing Member/President of Focus 1 Associates, LLC and...

Chief Compliance Officer Roundtable: Breakfast Briefing - February 7, 2018

When: February 7, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000 Schedule: 9:00-9:30am - Networking...

Upcoming Events - September & October 2017

Upcoming Events Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you. SEC3 is teaming up with industry experts in NYC to discuss...

May 23, 2017 - Webcast: WannaCry Ransomware: Were You Really Protected or Just L…

When: Tuesday, May 23rd, 2017 | Schedule: 12pm - 1pm EST Who: Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions Michael Brice, Founder, BW Cyber Services John Lukan, Managing Director, SEC Compliance Consultants, Inc. We...

June 14, 2017 - Compliance Breakfast Briefing

8:30-9:00am - Networking and Continental Breakfast 9:00-10:30am - Program Location: Willkie Farr & Gallagher LLP | 600 Travis Street | Suite 2310 | Houston, TX Barry Barbash from Willkie Farr & Gallagher LLP,...

June 13, 2017 - Compliance Breakfast Briefing

8:30-9:00am - Networking and Continental Breakfast 9:00-10:30am - Program Location: Haynes and Boone, LLP | 2323 Victory Avenue | Suite 700 | Dallas, TX 75219 Validated parking is available in the garage attached...

May 31, 2017 - Chicago

9:00-9:30 a.m - Networking and Continental Breakfast 9:30-11:00 a.m - Program Location: Baker & McKenzie LLP | 300 East Randolph Drive | Suite 5000 | Chicago, IL 60601 Kristin Gonzalez and Jerome Tomas...

May 17, 2017 (NYC WIMF)

This event is by invitation only. Please email info@seccc.com to learn more.

May 15, 2017 (NYC Chief Compliance Officer Roundtable)

9:00-9:30am - Networking and Continental Breakfast 9:30-11:00am - Program Location: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone:...

Webcast: The Most Insidious Cybersecurity Threat Is Also The Least Understood

When: Tuesday, April 25th | Schedule: 12pm - 1pm EST Who: Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions Michael Brice, Founder, BW Cyber Services John Lukan, Managing Director, SEC Compliance Consultants, Inc. Ransomware, the...

CCO Liability (Part III): Managing Liability Webinar

In this webinar, panelists discuss indemnifications and insurance as potential remedies to address the direct financial risks to a CCO. Attendees will learn: What terms and conditions should Chief Compliance Officers be...

Webinar: CCO Liability (Part III): Managing Liability: Navigating Indemnities an…

When: Tuesday, February 21, 2017 Schedule: 11:00am ET / 10:00am CT / 9:00am MT / 8:00am PT / 7:00am AT Description of Webinar: The National Society of Compliance Professionals is pleased to host...

Webcast: SEC 2017 Examination Focus Area – Cybersecurity Testing

Penetration Testing & Vulnerability Assessments - Examining the SEC & FINRA Requirements When: Wednesday, January 25th | Schedule: 12pm - 1pm EST Who: Paul Caiazzo, CEO and Co-Founder, TruShield Security Solutions Michael Brice, Founder,...

Chief Compliance Officer Roundtable: Breakfast Briefing

When: October 20, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York, NY 10174 | 22nd Floor Boardroom | Phone: 212.885.5000 Thomas Westle and Janaya...