SECCC Events, Roundtables November 2, 2018 Chief Compliance Officer Roundtable: Breakfast Briefing – November 8, 2018 When: November 8, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New Yo... Read More
SECCC Communiques October 17, 2018 Pre-Dating & Back-Dating are Equally Risky The SEC today suspended three accountants formerly of BDO USA LLP for improper professional conduct ... Read More
SECCC Communiques October 3, 2018 Fiduciary Duty On Friday, September 28, 2018 the SEC charged LendingClub Asset Management (LCA) and its former pres... Read More
SECCC Events September 13, 2018 Dorsey PF 2018 Symposium When: September 26, 2018 (8:30 am – 6 pm) Where: Dorsey & Whitney LLP | 51 W. 52nd Street ... Read More
SECCC Outsourced CCO September 12, 2018 Outsourced Chief Compliance Officer One of our goals is to help directors and trustees feel confident that our outsourced CCO solution w... Read More
SECCC Communiques July 20, 2018 Exciting Summer Project — Dig Into Some Sand or Dig Into Your Firm’s Best Ex Process? The Office of Compliance Inspections and Examinations (OCIE) issued a risk alert July 11 targeting i... Read More
SECCC Communiques July 12, 2018 SEC Adopts Fund Liquidity Reporting and Disclosure Changes The final week of June was a busy one for SEC releases following the SEC’s June 28th open meeting.... Read More
SECCC Communiques June 4, 2018 More SEC Settlements – This Time Form PF Filing Deficiencies On June 1st, the SEC announced settlements with 13 RIAs who repeatedly failed to file Form PF report... Read More
SECCC Events, Roundtables June 1, 2018 Chief Compliance Officer Roundtable: Breakfast Briefing When: June 14, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York,... Read More
SECCC Communiques May 15, 2018 Two Recent Enforcement Actions Against Private Fund Advisers The industry should not misinterpret the SEC’s 2018 National Exam Program Priorities as a shift aw... Read More