SEC3 Newsletter
Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability This article o...
CCO Liability (Part III): Managing Liability Webinar
In this webinar, panelists discuss indemnifications and insurance as potential remedies to address t...
President Janaya Moscony Interviewed by Julie DiMauro – Thomson Reuters
This January, Janaya Moscony, president of SEC3, was interviewed by Julie DiMauro – Thomson Re...
Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability
This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service...
Webinar: CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
When: Tuesday, February 21, 2017 Schedule: 11:00am ET / 10:00am CT / 9:00am MT / 8:00am PT / 7:00am ...
Webcast: SEC 2017 Examination Focus Area – Cybersecurity Testing
Penetration Testing & Vulnerability Assessments – Examining the SEC & FINRA Requiremen...
Wishing One-and-All a Happy, Healthy and Prosperous New Year
We hope each of you found some peace and tranquility in the company of loved ones this holiday seaso...
Understanding How to Mitigate Liability and Navigate Insurance Options (Part II)
In June, we shared our thoughts around common insurance gaps and insurance riders that CCOs as well ...
Chief Compliance Officer Roundtable: Breakfast Briefing
When: October 20, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New Yo...