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 Articles & White Papers September 10, 2019 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)... Read More
SECCC Articles & White Papers June 24, 2019 D&O Liability Insurance Considerations for Financial Institutions PRACTICE NOTE: D&O Liability Insurance Considerations for Financial Institutions (PDF)... Read More
SECCC Articles & White Papers June 4, 2019 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)... Read More
SECCC Articles & White Papers March 19, 2018 Tips for SEC Exam Preparedness Read SEC Exam Tips in PDF Format Before the SEC comes in: Disclosure, Disclosure, Disclosure. Make s... Read More
SECCC Articles & White Papers February 23, 2017 President Janaya Moscony Interviewed by Julie DiMauro – Thomson Reuters This January, Janaya Moscony, president of SEC3, was interviewed by Julie DiMauro – Thomson Re... Read More
SECCC Articles & White Papers February 23, 2017 Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service... Read More
SECCC Articles & White Papers November 1, 2016 CCO Liability: Managing Liability: Navigating Indemnities and Insurance Options Read Article... Read More
SECCC Articles & White Papers March 3, 2016 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... Read More