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
SECCC Communiques December 17, 2015 How to Make $13 Million Before the New Year The SEC announced on December 13 that they have brought charges against a New Jersey man and his com... Read More
SECCC Communiques November 10, 2015 SEC Raises Awareness Surrounding CCO Outsourcing Yesterday, the SEC indirectly affirmed that registered investment advisers and investment companies ... Read More
SECCC Communiques November 5, 2015 SEC Provides Clarity on When and How the Enforcement Division Goes After CCOs Yesterday, Director of the Enforcement Division of the Securities and Exchange Commission, Andrew Ce... Read More
SECCC Communiques October 22, 2015 The SEC Outdoes Itself Again Announcing A Record Year for Enforcement Action The Securities and Exchange Commission announced on October 22, 2015 a comprehensive report describi... Read More
SECCC Communiques October 8, 2015 The Hunt Continues: SEC Goes After Large Private Equity Firm for Undisclosed Fees On October 7, 2015, the SEC announced a large settlement with a private equity firm charged with fai... Read More