SECCC Events, Roundtables May 18, 2020 Virtual Chief Compliance Officer Roundtable: The Impact of COVID-19 Please join us for an upcoming webinar: “Virtual Chief Compliance Officer Roundtable: The Impa... Read More
SECCC Communiques April 8, 2020 SEC Exam Focus Updates 2020 We have had several clients who have had SEC exams recently despite the social distancing measures i... Read More
SECCC Communiques March 23, 2020 Working From Home COVID-19 has forced a new, global reality upon us. The breadth has yet to be fully comprehended. One... Read More
SECCC Events, Roundtables January 29, 2020 Chief Compliance Officer Roundtable: Breakfast Briefing – February 25, 2020 When: February 25, 2020 Where: Blank Rome LLP 1271 Avenue of the Americas, 16th Floor New York, NY O... Read More
SECCC Communiques January 14, 2020 OCIE’s 2020 NATIONAL EXAM PROGRAM PRIORITIES With the best intentions, on January 7th, the Securities and Exchange Commission’s (“Commissionâ... Read More
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 2018â€... 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 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