Treasury Filings
Forms SLT, SHC and S are part of the reporting requirements of Treasury International Capital (̶...
How bright are expert networks blinking on the SEC’s radar screen?
This June SEC3 Compliance Consultants published an article for Thompson Reuters Acceluson the topic ...
Janaya Moscony quoted in Wall Street Journal Fraud Risk Article
Janaya Moscony, President and CEO of SEC3, was quoted in a recent Wall Street Journal article entitl...
CNN: Hedge fund regulation? What hedge fund regulation?
Janaya Moscony, President & CEO of SEC3, is quoted in the Fortune / CNNMoney article entitl...
SEC Registration Deadline: What We Can and Can’t Tell You
SEC Associate Director Robert Plaze’s April 8th letter to David Massey, President, North Ameri...
Beware: Making Political Contributions Could Limit your Business Opportunities
Pay to play is the practice of making campaign contributions and related payments to elected officia...
NYC CCO Compliance Roundtable
When: Feb 29th, 2011 – 9:00 am to 11:00 am Where: Blank Rome LLP, The Chrysler Building, 450 L...
Avoiding a Public Offer Through Private Fund Materials and Communications
We believe the beginning of 2011 is a suitable time to address several key issues facing investment ...
Application of the Adviser Act’s Advertising Rule to Private Fund Managers
The holidays provide the opportunity for us take a step back from the routine, remind ourselves of o...
Procrastination…
The effective date for the amended rules pertaining to the new ADV Form Part 2 is today, October 12t...