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)...
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)...
Tips for SEC Exam Preparedness
Read SEC Exam Tips in PDF Format Before the SEC comes in: Disclosure, Disclosure, Disclosure. Make s...
President Janaya Moscony Interviewed by Julie DiMauro – Thomson Reuters
This January, Janaya Moscony, president of SEC3, was interviewed by Julie DiMauro – Thomson Re...
Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability
This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service...
Liability and Outsourcing – Identifying and Controlling the Real Risks Part 2 of 2: Choosing a CCO
The roles and responsibilities undertaken by Chief Compliance Officers (“CCOs”), whether...
SEC exam prep: What to expect in second half 2015
The U.S. Securities and Exchange Commission’s (SEC’s) 2015 examination priorities (PDF) ...
How bright are expert networks blinking on the SEC’s radar screen?
This June SEC3 Compliance Consultants published an article for Thompson Reuters Acceluson the topic ...