There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to...more
3/10/2025
/ Anti-Money Laundering ,
Asset Management ,
Broker-Dealer ,
Compliance ,
Disclosure Requirements ,
Enforcement Actions ,
Hedge Funds ,
Investment Adviser ,
Investment Management ,
Private Equity ,
Private Funds ,
Regulation S-P ,
Regulatory Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
For your reading pleasure, we present a list of tips for surviving a routine SEC Examination. This list has been compiled by SEC3 employees including ex-SEC examiners. It is not to be considered all-inclusive and is provided...more
11/6/2023
/ Administrative Procedure ,
Broker-Dealer ,
Compliance Management Systems ,
Disclosure Requirements ,
Form ADV ,
Investment Adviser ,
Libor ,
Policies and Procedures ,
Risk Assessment ,
Risk Mitigation ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation