SECCC Communiques November 6, 2019 SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019 Today the SEC Division of Enforcement released its 2019 Annual Report for the fiscal year ended this... Read More
SECCC Communiques October 31, 2019 Disclosure Can Be SO Scary SEC staff recently published their FAQs regarding financial conflicts and adviser compensation. Whil... Read More
SECCC Communiques September 10, 2019 SEC3 Updates SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018... Read More
SECCC Communiques July 29, 2019 OCIE RISK ALERT – Insight Into Supervision Related Expectations Last week, the SEC shared feedback in a Risk Alert, Observations from Examinations of Investment Adv... Read More
SECCC Communiques May 31, 2019 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... Read More
SECCC Communiques March 14, 2019 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... Read More
SECCC Communiques February 21, 2019 CFTC Releases Exam Priorities In a first time release, stemming from agency initiatives to improve its relationship with regulated... Read More
SECCC Communiques February 14, 2019 FINRA’S Box of Chocolates While we know you prefer a box of chocolates today instead of this industry update on compliance, th... Read More
SECCC Communiques January 15, 2019 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 ... Read More
SECCC Communiques January 7, 2019 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... Read More