SECCC Events April 2, 2018 Webinar: 2018 SEC Exam Priorities & Recent Exam Highlights Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you... Read More
SECCC Articles & White Papers March 19, 2018 Tips for SEC Exam Preparedness Read SEC Exam Tips in PDF Format Before the SEC comes in: Disclosure, Disclosure, Disclosure. Make s... Read More
SECCC Communiques March 19, 2018 2018 – Are you ready for your next SEC exam? The pool of registered investment advisers that will be subject to an SEC exam in 2018 is at the hig... Read More
SECCC Events, Roundtables January 17, 2018 Chief Compliance Officer Roundtable: Breakfast Briefing – February 7, 2018 When: February 7, 2018 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New Yo... Read More
SECCC Communiques January 12, 2018 Navigating the Changes to Form ADV On August 25, 2016, the U.S. Securities and Exchange Commission adopted numerous substantive and tec... Read More
SECCC Communiques December 15, 2017 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... Read More
SECCC Events September 18, 2017 Upcoming Events – September & October 2017 Upcoming Events Don’t miss the opportunity to meet with us in person to discuss the topics that ma... Read More
SECCC Events May 19, 2017 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... Read More
SECCC Events May 2, 2017 June 14, 2017 – Compliance Breakfast Briefing 8:30-9:00am – Networking and Continental Breakfast 9:00-10:30am – Program Location: Will... Read More
SECCC Events May 1, 2017 June 13, 2017 – Compliance Breakfast Briefing 8:30-9:00am – Networking and Continental Breakfast 9:00-10:30am – Program Location: Hayn... Read More