SECCC Communiques December 23, 2020 SEC’s Holiday Gift–New Advertising Rule Adopted December 23, 2020 The SEC finally adopted their long-awaited modernization to investment adviser mar... Read More
SECCC Communiques, Latest from SEC December 4, 2020 Staying Current – SEC Updates We want to take the opportunity to share a few significant items put out by the SEC last month. Enfo... Read More
SECCC Communiques November 5, 2020 Business Continuity & Succession Plans We promised to revisit COVID-19/pandemic specific risks for the near future given we know all curren... Read More
SECCC Events October 19, 2020 Virtual Chief Compliance Officer Roundtable: Fall 2020 Update Online via WebEx October 27, 2020 10:00–11:30 a.m. ET Please join Blank Rome Partners and Investme... Read More
SECCC Communiques October 6, 2020 Electronic Communications–What Should CCOs Be Asking? We promised last week to help you dissect your compliance program to be sure you are ready to answ... Read More
SECCC Articles & White Papers September 29, 2020 How Would You Rate Your Pandemic Risk Assessment & Testing Program? As the magnitude of the measures being taken to mitigate the spread of COVID-19 began to shake finan... Read More
SECCC Articles & White Papers September 28, 2020 SEC Expands Scope of Examinations to Include COVID-19 SEC Expands Scope of Examinations to Include COVID-19 (PDF)... Read More
SECCC Communiques August 17, 2020 SEC Releases COVID-19 Compliance Risks and Considerations for IAs and BDs In a release on August 12, 2020, the SEC’s Office of Compliance Inspections and Examinations ident... Read More
SECCC Events, Roundtables May 18, 2020 Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19 Please join us for an upcoming webinar: “Virtual Chief Compliance Officer Roundtable: The Impa... Read More
SECCC Communiques April 8, 2020 SEC Exam Focus Updates 2020 We have had several clients who have had SEC exams recently despite the social distancing measures i... Read More