Practicing Law Institute – Hedge Fund Management 2016
When: September 15, 2016 Where: New York & concurrent webcast | 1177 Avenue of the Americas | Ne...
Cybersecurity – What have we learned and what have we done?
Regulatory Landscape In April 2015, the Securities and Exchange Commission (“SEC’s”...
Gatekeepers in SEC Crosshairs
Ever since the enforcement cases were announced as part of the SEC’s “Operation Broken Gate,” ...
Anna M. Bencrowsky, CRCP, CMFS Joins SEC3
We are pleased to announce that Anna M. Bencrowsky, CRCP, CMFS has joined SEC3 as a Senior Consultan...
Understanding How to Mitigate Liability and Navigate Insurance Options
Despite all the proper steps you can take as Chief Compliance Officer (“CCO”) to avoid an enforc...
Are you ready for your next SEC exam?
We know first-hand the stress involved when the SEC calls to inform you that they are coming onsite ...
CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING
When: April 13, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York...
Liability and Outsourcing – Identifying and Controlling the Real Risks Part 2 of 2: Choosing a CCO
The roles and responsibilities undertaken by Chief Compliance Officers (“CCOs”), whether...
New Year, Same Requirements
Individual liability is quickly rising to the forefront of the radar of the Securities and Exchange ...
Happy New Year and Important Reminders Regarding CCO Liability
As we begin a new year, our thoughts turn to our clients and friends who have made our progress poss...