SEC3 Upcoming Events

Don’t miss the opportunity to meet with us in person to discuss the topics that matter most to you.

SEC3 is teaming up with industry experts in different cities to discuss pressing compliance topics. Here are our upcoming events. Click on the links to learn more and register.


May 15, 2017 – NYC Chief Compliance Officer

Info coming soon on this event…


May 17, 2017 – NYC WIMF Event – By Invitation Only

Email info@seccc.com to learn more about this event.


May 31, 2017 – Compliance Breakfast Briefing

  • 9:00-9:30am – Networking and Continental Breakfast
  • 9:30-11:00am – Program

Location:

Kristin Gonzalez and Jerome Tomas from Baker McKenzie, Graig Vicidomino from Crystal & Company, and Janaya Moscony from SEC3 will discuss topics of interest to chief compliance officers.

Topics include, but are not limited to:

  • SEC regulatory, exam and enforcement updates
  • Liability issues relevant to CCOs and advisers
  • Considerations when reviewing your E&O/D&O coverage

Click here to register


June 13, 2017 – Compliance Breakfast Briefing

  • 8:30-9:00am – Networking and Continental Breakfast
  • 9:00-10:30am – Program

Location: Haynes and Boone, LLP | 2323 Victory Avenue | Suite 700 | Dallas, TX 75219
Validated parking is available in the garage attached to the building.

Map and Directions
Victory Dart Station


June 14, 2017 – Compliance Breakfast Briefing

  • 8:30-9:00am – Networking and Continental Breakfast
  • 9:00-10:30am – Program

Location: Willkie Farr & Gallagher LLP | 600 Travis Street | Suite 2310 | Houston, TX

Barry Barbash from Willkie Farr & Gallagher LLP, Graig Vicidomino from Crystal &Company , and John Lukan from SEC Compliance Consultants, Inc. will discuss topics of interest to chief compliance officers.

Topics include:

  • SEC regulatory, exam and enforcement updates
  • Liability issues relevant to CCOs and advisers
  • Considerations when reviewing your E&O/D&O coverage

Click here to register

Space is limited. Due to the overwhelming interest in these events, we are inviting only chief compliance officers and their staff.

  • Barry P. Barbash is a co-head of Willkie Farr & Gallagher LLP’s Asset Management Group and has been a practitioner in the asset management area for over 35 years. He combines deep private practice experience with extensive knowledge of the regulation of the asset management business, having, among other things, served from September 1993 until October 1998, as the Director of the Securities and Exchange Commission’s Division of Investment Management.”
  • Graig Vicidomino is an Associate Director and Sales Leader of Crystal & Company’s Financial Professional Liability department, part of the Financial Institutions Group, which services the directors & officers liability, errors & omissions liability, employment practices liability, cyber security, fidelity, and fiduciary liability insurance needs of financial service clients. Graig has over 9 years of experience managing thebrokerage and placement for a variety of financial institutions including investment advisers, hedge funds, mutual funds, private equity, investment consultants, and banks.
  • John Lukan is a Managing Director of SEC Compliance Consultants, Inc. He has over 25 years of experience supporting and providing advice to a broad range of global, SEC registered advisers. He has significant practical experience having navigated several clients through SEC examinations. John’s deep knowledge of his clients’ businesses provides him with the knowledge to guide advisers in managing their conflicts-of-interest and fulfilling their fiduciary obligations.