SEC3 Updates
SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018...
OCIE RISK ALERT – Insight Into Supervision Related Expectations
Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Adv...
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...
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...
FINRA’S Box of Chocolates
While we know you prefer a box of chocolates today instead of this industry update on compliance, th...
A Motivated Agency: The SEC Closing the Loop on the Edgar System Cyber Breach
You may recall after Clayton took the helm as Chairman at the SEC, the agency disclosed that it had ...
Examiners Take Reprieve with Gov’t Shut Down, But CCOs Must Carry On
These government shut downs don’t usually go on indefinitely. Before we blink an eye, examiners wi...
Pre-Dating & Back-Dating are Equally Risky
The SEC today suspended three accountants formerly of BDO USA LLP for improper professional conduct ...
Fiduciary Duty
On Friday, September 28, 2018 the SEC charged LendingClub Asset Management (LCA) and its former pres...