Investment Companies
Investment Companies Among the challenges facing funds is the ability to maximize the compliance cap...
Private Fund Adviser Registration and Compliance
Private Fund Adviser Registration and Compliance With private fund adviser registration now a necess...
Hedge Fund Registration
Private Fund Registration with SEC Our services range from assistance with SEC registration to varyi...
Investment Advisers
Investment Advisers SEC3 offers an extensive suite of customizable compliance services for investmen...
Janaya Moscony
Janaya P. Moscony, President As a former Securities and Exchange Commission (“SEC”) regu...
Decoding Compliance Buzzwords:The Practical Application of Risk Assessment & Forensic Testing
Risk assessment is a phrase used to describe the process of identifying and estimating the exposure ...
Whats on the SEC’s Radar – Top Ten
This past July the SEC published a Compliance Alert summarizing issues found during recent examinati...
Why Private Funds Require Operational Due Diligence
Why Private Funds Require Operational Due Diligence The answer may not be what you think. “Its fou...
Hedge Fund Registration – SEC3 Publishes Hedge Fund Guide to SEC Registration
Hedge Fund Registration with SEC – SEC3 Publishes Guide to SEC Registration of Private Fund In...
Compliance Consultant (Senior Level)
We are actively recruiting candidates at the senior level. Our consultants travel frequently to prov...