SEC3 Updates
SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018...
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2 (PDF)...
OCIE RISK ALERT – Insight Into Supervision Related Expectations
Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Adv...
D&O Liability Insurance Considerations for Financial Institutions
PRACTICE NOTE: D&O Liability Insurance Considerations for Financial Institutions (PDF)...
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1 (PDF)...
Have You Documented Your Data Storage Vendor Due Diligence?
On May 23, 2019 the Office of Compliance Inspections and Examinations (“OCIE”) issued a risk ale...
Chief Compliance Officer Roundtable: Breakfast Briefing – June 5, 2019
The Role of AI and Other Emerging Technologies in Investment Management When: June 5, 2019 Where: Bl...
Latest From FINRA
Firms Elect Securities America Financial Corporation’s Jim Nagengast to FINRA Board of Governors N...
79 Advisers Self Report and $125 Million Returned to Investors
In line with the OCIE’s National Exam Priorities targeting its examination efforts to prevent harm...
CFTC Releases Exam Priorities
In a first time release, stemming from agency initiatives to improve its relationship with regulated...