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Speaking Engagements

Both SEC3 and CCO3 are active in the Financial Community and participates in several Industry Events, Roundtables & Conferences as well as hosts educational webinars.

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 aware of with respect to insurance policies and riders?
  • Are CCOs still covered once they leave a firm?
  • What factors may a board wish to consider in connection with approving or renewing a D&O/E&O insurance policy?
  • What are the protections/defenses in place for fund directors? Are CCOs afforded the same protections? Also, is outside counsel ever subject to potential liability?
  • Are Fund Directors ever found personally liable or are they covered by fund assets and/or D&O/E&O insurance policies?
  • What is the biggest misconception about cyber insurance?

 

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: 212.885.5000

Thomas Westle and Janaya Moscony, along with industry experts, will discuss topics of interest to chief compliance officers.

Topics include:

  • SEC update including: liquidity rule for funds, and the current status of the DOL fiduciary rule
  • What’s going on regarding compliance and what CCO’s need to know to do their jobs
  • Recent SEC exams
  • Recent enforcement cases

Click here to register for this event

Space is limited. Due to the overwhelming interest in these events, we are inviting only chief compliance officers and their staff.

 

Webinar: CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options

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 this webinar on “CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options” sponsored by SEC Compliance Consultants.

In this webinar, panelists will 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 aware of with respect to insurance policies and riders?
  • Are CCOs still covered once they leave a firm?
  • What factors may a board wish to consider in connection with approving or renewing a D&O/E&O insurance policy?
  • What are the protections/defenses in place for fund directors?Are CCOs afforded the same protections? Also, is outside counsel ever subject to potential liability?
  • Are Fund Directors ever found personally liable or are they covered by fund assets and/or D&O/E&O insurance policies?
  • What is the biggest misconception about cyber insurance?

View the Webinar Here

 

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, BW Cyber Services
  • John Lukan, Managing Director, SEC Compliance Consultants, Inc.

On January 12th, 2017, the SEC published its 2017 examination priorities. Once again, cybersecurity was listed as an exam priority with a renewed focus on “compliance procedures and controls, including testing the implementation of those procedures and controls at broker-dealers and investment advisers.”

While advancements in technology have greatly improved the speed, efficiency, and capability of investment adviser and broker-dealer systems and workflows, these developments have also significantly increased operational and reputational risk. An isolated system intrusion can have dramatic consequences for a SEC or FINRA registrant including financial loss, ongoing liability to clients and investors as well as potential regulatory enforcement action. In today’s environment, if a “hacked” SEC or FINRA registrant has any hope of avoiding a regulatory enforcement action, it is imperative they can demonstrate that they have adequate policies and procedures to identify and test potential cybersecurity vulnerabilities and weaknesses. Such policies must also address the experience, security vetting process and the location of any external party performing such tests.

Attend this webcast to find out what you should be doing to remain compliant and ensure the integrity, resiliency, and capacity of your infrastructure.

We will wrap up the presentation with an interactive Q&A session.

Can’t attend the live event? You should still register! We will send the recording of the webcast after the event.

Register now!

 

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 Moscony, along with industry experts, will discuss topics of interest to chief compliance officers.

Topics include:

  • SEC updates including: revisions to form ADV, business continuity rule, liquidity rule for funds, and the DOL fiduciary rule
  • What CCO’s need to know about cybersecurity and indemnification agreements
  • Recent SEC exams
  • Recent enforcement cases

Schedule:

9:00-9:30 a.m. - Networking and Continental Breakfast
9:30-11:00 a.m. - Program

Click here to register

Space is limited. Due to the overwhelming interest in these events, we are inviting only chief compliance officers and their staff.

 

Practicing Law Institute - Hedge Fund Management 2016

When: September 15, 2016
Where: New York & concurrent webcast | 1177 Avenue of the Americas | New York, NY 10036
Schedule: 9:00 am – 5:00 pm

Janaya Moscony, President of SEC3 will be a faculty member along with an impressive group of speakers including Jennifer Duggins, co-head of the SEC's private funds unit within the SEC's Office of Compliance Inspections and Examinations. The PLI's Hedge Fund Management 2016 program will be chaired by Leor Landa, partner in Davis Polk's Investment Management/Private Funds Group. If there is interest in attending this event, please register through PLI's website.

Practicing Law Institute - Hedge Fund Management Event 2016

 

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Newsletter

Get the latest compliance news and insights - delivered weekly. The SEC3 Communique covers all compliance topics. CCO3 focuses on CCO topics.
tip: check both to keep informed!

Communiques

Pre-Dating & Back-Dating are Equally Risky

The SEC today suspended three accountants formerly of BDO USA LLP for improper professional conduct during its 2013 audit of AmTrust Financial Services Inc., an exchange-listed insurance company. According to the... read more »

Fiduciary Duty

On Friday, September 28, 2018 the SEC charged LendingClub Asset Management (LCA) and its former president Renaud Laplanche with fraud for improperly using fund money to benefit LendingClub Corporation (LendingClub),... read more »

Exciting Summer Project -- Dig Into Some Sand or Dig Into Your Firm's Best Ex Pr…

The Office of Compliance Inspections and Examinations (OCIE) issued a risk alert July 11 targeting investment advisers’ most common deficiencies with regard to their best execution obligations under the Investment... read more »

SEC Adopts Fund Liquidity Reporting and Disclosure Changes

The final week of June was a busy one for SEC releases following the SEC’s June 28th open meeting. Among these was a revisit of Rule 22e-4 under the Investment... read more »

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 »

Events

Chief Compliance Officer Roundtable: Breakfast Briefing - November 8, 2018

When: November 8, 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...

Dorsey PF 2018 Symposium

When: September 26, 2018 (8:30 am - 6 pm Where: Dorsey & Whitney LLP | 51 W. 52nd Street | New York, NY 10019 Directions > SEC3’s President, Janaya Moscony will join...

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...