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...
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...