SEC Compliance Consultants, Inc. (SEC³)

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New York, United States
Phone: (212) 706-4029, x214
Areas Of Practice
  • Ethics & Compliance
  • Financial Services
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Other U.S. Locations
  • D.C.
  • Florida
  • New York
  • Pennsylvania
  • Texas
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  • United States
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Publications About Authors Awards

Jaqueline Hummel

7 Ugly Truths About Compliance: A Primer for New Chief Compliance Officers

Many compliance officers live in hope that if they ramp up their persuasive skills, engage employees with spectacular training presentations, and provide succinct and prompt advice, they will receive the respect and recognition… more

Chief Compliance Officers, Compliance, Corporate Governance, Employees, Investment Adviser

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Janaya Moscony

SEC Chair Paul Atkins Sets Pro-Innovation Tone in First Public Remarks

In his first public address as Chairman of the U.S. Securities and Exchange Commission, Paul Atkins laid out his regulatory vision during the SEC Speaks conference on May 19, 2025… more

Cryptocurrency, Digital Assets, FinTech, Investment Funds, Private Funds

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