As discussed in our prior article, it's important to have a well-built foundation for your compliance program. But creating the program is just the start of the journey. Compliance is a journey requiring adaptation,...more
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 most investment advisers, March signals the beginning of Form ADV season, where compliance officers gather all kinds of firm data to update a document fraught with potential regulatory liability. For the uninitiated, Form...more
2/10/2025
/ Asset Management ,
Disclosure Requirements ,
Exempt Reporting Advisers (ERAs) ,
Filing Requirements ,
Financial Services Industry ,
Form ADV ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Reporting Requirements ,
Required Forms ,
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