Navigating the Changes to Form ADV
On August 25, 2016, the U.S. Securities and Exchange Commission adopted numerous substantive and tec...
Overlooked Benefits of E&O/D&O
While asset managers should always be aware of the protections provided by their E&O/ D&O co...
Upcoming Events – September & October 2017
Upcoming Events Don’t miss the opportunity to meet with us in person to discuss the topics that ma...
May 23, 2017 – Webcast: WannaCry Ransomware: Were You Really Protected or Just Lucky
When: Tuesday, May 23rd, 2017 | Schedule: 12pm – 1pm EST Who: Paul Caiazzo, CEO and Co-Founder...
June 14, 2017 – Compliance Breakfast Briefing
8:30-9:00am – Networking and Continental Breakfast 9:00-10:30am – Program Location: Will...
June 13, 2017 – Compliance Breakfast Briefing
8:30-9:00am – Networking and Continental Breakfast 9:00-10:30am – Program Location: Hayn...
May 31, 2017 – Chicago
9:00-9:30 a.m – Networking and Continental Breakfast 9:30-11:00 a.m – Program Location: ...
May 17, 2017 (NYC WIMF)
This event is by invitation only. Please email info@seccc.com to learn more....
May 15, 2017 (NYC Chief Compliance Officer Roundtable)
9:00-9:30am – Networking and Continental Breakfast 9:30-11:00am – Program Location: Blan...
SEC3 Upcoming Events
Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you...