SECCC Events October 1, 2015 COMPLIANCE SCIENCE SUMMIT 2015 When: November 17, 2015 Where: Convene Midtown East | 730 Third Avenue | New York, NY 10017 Janaya M... Read More
SECCC Communiques September 24, 2015 Adviser Settles SEC Cyber Enforcement Action The Securities and Exchange Commission announced on September 22, 2015 that an investment adviser ha... Read More
SECCC Communiques September 22, 2015 First Case Brought Under Distribution-in-Guise Initiative On September 21, 2015, the Securities and Exchange Commission charged an asset manager with im... Read More
SECCC Communiques September 17, 2015 New Cybersecurity Risk Alert Announcing Second Round of Cybersecurity Sweep Exams On September 15, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) is... Read More
SECCC Events, Roundtables September 15, 2015 CHIEF COMPLIANCE OFFICER ROUNDTABLE: BREAKFAST BRIEFING When: October 13, 2015 Where: Blank Rome LLP | The Chrysler Building | 405 Lexington Avenue | New Yo... Read More
SECCC Communiques August 28, 2015 Anti-Money Laundering Regulation—Third Time’s the Charm? The Financial Crimes Enforcement Network (FinCEN) proposed on August 25, 2015, a rule that would req... Read More
SECCC Communiques August 19, 2015 Cybercrime Meets Insider Trading The SEC announced on Tuesday charges against 32 defendants involved in an unprecedented illicit sche... Read More
SECCC Events July 29, 2015 The SEC’s Examination Priorities: What Every Private Fund Managers Need to Know in 2015 LIVE Webcast In this CLE course, a panel of thought leaders and professionals organized by The Knowledge Group wi... Read More
SECCC Articles & White Papers July 27, 2015 SEC exam prep: What to expect in second half 2015 The U.S. Securities and Exchange Commission’s (SEC’s) 2015 examination priorities (PDF) ... Read More
SECCC Communiques July 7, 2015 SEC Charges Private Equity Manager in First Ever Case Over Allocation of Broken Deal Expenses The Securities and Exchange Commission recently charged a private equity firm for misallocating more... Read More