SEC3 Updates

SEC3 has contributed articles to two recent issues of NSCP Currents, including a breakdown of 2018’s Share Class Selection Disclosure Initiative and a broader look at advantages and disadvantages to self-reporting.

SEC3 Currents contributions are available at the following links:

Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1

The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2

In addition, we will be speaking at NSCP’s upcoming National Conference.

The NSCP National Conference is being held at the Hilton Baltimore, Maryland from October 21st through the 23rd. Janaya Moscony, founder of SEC Compliance Consultants, will be speaking at the Lab entitled Initial and On-going Vendor Due Diligence and Oversight on October 22nd.

To learn more about the NSCP National Conference, click here.

NSCP is allowing us to share this special pricing offering $100 discount for industry attendees who have not yet registered. Use the discount code: RT100 and $100 will be deducted from your total amount due.