Reg SHO – “SHO” me the money
The Securities and Exchange Commission (“Commission”) recently voted to amend Regulation...
Changing Paradigm at the SEC
Recent comments by various members of the Securities and Exchange Commission (“SEC”), in...
Reconciling Hedge Funds, the SEC and Material Non-Public Information
Tu·mul·tu·ous (adjective) marked by violent or overwhelming turbulence or upheaval. Imagine for a...
The Industry Speaks and the SEC Listens
2009 was a year of turmoil in the financial markets and the economy in general. With abuses and frau...
Risk: Operational vs Investment Risk
Successfully managing risk is key to achieving investment success. There are two major risks –...
Private Fund Due Diligence
Let’s address the semantics. A “compliance review” and an “operational due d...
Guide to SEC Registration of Private Funds
Private Fund Adviser Registration – A white paper prepared by SEC3 describing the SEC registra...
SEC3 Article Published by HedgeWorld
Today, HedgeWorld.com published an article written by Janaya Moscony and Jose Santiago, both of SEC ...
Broker / Dealers
Broker / Dealers SEC Compliance Consultants, Inc. offers an extensive suite of customizable complian...
Investment Companies
Investment Companies Among the challenges facing funds is the ability to maximize the compliance cap...