SECCC Events September 16, 2016 Practicing Law Institute – Hedge Fund Management 2016 When: September 15, 2016 Where: New York & concurrent webcast | 1177 Avenue of the Americas | Ne... Read More
SECCC Communiques August 17, 2016 Cybersecurity – What have we learned and what have we done? Regulatory Landscape In April 2015, the Securities and Exchange Commission (“SEC’s”... Read More
SECCC Communiques August 4, 2016 Gatekeepers in SEC Crosshairs Ever since the enforcement cases were announced as part of the SEC’s “Operation Broken Gate,” ... Read More
SECCC Communiques July 11, 2016 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... Read More
SECCC Communiques July 5, 2016 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... Read More
SECCC Communiques May 17, 2016 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 ... Read More
SECCC Events, Roundtables March 16, 2016 CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING When: April 13, 2016 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New York... Read More
SECCC Articles & White Papers March 3, 2016 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... Read More
SECCC Communiques February 10, 2016 New Year, Same Requirements Individual liability is quickly rising to the forefront of the radar of the Securities and Exchange ... Read More
SECCC Communiques January 15, 2016 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... Read More