SECCC Communiques July 1, 2015 What the SEC’s New Cybersecurity Guidance Means for Investment Advisers and Investment Companies By Janaya Moscony, CFA; Irshad Karim; Linda Smith; Claire Owens, SEC Compliance Consultants Publishe... Read More
SECCC Communiques June 25, 2015 SEC Sanctions Investment Adviser for Failure to Devote Resources to Compliance Function The SEC recently settled a proceeding brought against an investment adviser firm, its former Preside... Read More
SECCC Events, Roundtables June 11, 2015 Greenwich CCO Compliance Roundtable When: June 24th 2015 Where: The Belle Haven Club | 100 Harbor Drive, Greenwich CT 06830 Please join ... Read More
SECCC Communiques June 3, 2015 SEC Proposes Extensive Amendments to Form ADV as Well as New Reporting Requirements for RIAs and RICs On May 20, 2015, the SEC unanimously approved extensive proposed amendments to Form ADV that, if ado... Read More
SECCC Communiques May 22, 2015 SEC Continues Heavy Focus on Private Equity The SEC is continuing to focus heavily on the private equity sector, reminding advisers in this spac... Read More
SECCC Communiques May 1, 2015 SEC Issues New Cybersecurity Guidance for Investment Advisers and Investment Companies The SEC’s Division of Investment Management recently released new guidance to registered investmen... Read More
SECCC Communiques April 22, 2015 Your CCO May Now Have An Incentive to Turn You In The Securities and Exchange Commission today announced an award of more than a million dollars to a ... Read More
SECCC Communiques April 21, 2015 SEC Charges Advisor with Failing to Disclose Conflict of Interest to Clients and Fund Boards The SEC has charged an advisor with failing to disclose a conflict of interest to their clients and ... Read More
SECCC Communiques April 6, 2015 SEC Warns of Using Confidentiality Language to Stifle Whistleblowers On April 1, 2015, the Securities and Exchange Commission announced its first ever enforcement action... Read More
SECCC Communiques March 25, 2015 SEC Reminds Advisers of the Need for Gifts and Entertainment Policies In February 2015, the SEC’s Division of Investment Management issued guidance to the public with r... Read More