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Securities and Exchange Commission (SEC) › Form ADV › Chief Compliance Officers

SEC Compliance Consultants, Inc. (SEC³)

Top Compliance Program Mistakes (and How to Avoid Them) (Part 2 of 2)

SEC Compliance Consultants, Inc. (SEC³) on

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

Stinson - Corporate & Securities Law Blog

SEC Charges Chief Compliance Officer for Failure to Verify Information

Stinson - Corporate & Securities Law Blog on

David I. Osunkwo was a principal at Strategic Consulting Advisors, LLC, or SC Consulting. SC Consulting offered compliance consulting and CCO services to two SEC registered investment adviser firms under common control, Aegis...more

Herbert Smith Freehills Kramer

Funds Talk: March 2017

Herbert Smith Freehills Kramer on

OCIE Highlights Frequent Topics for Compliance Deficiencies for Investment Advisers - On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance Inspections and Examinations (“OCIE”) published...more

Morgan Lewis

SEC Proposes Rules to Enhance Information Reported by Investment Advisers

Morgan Lewis on

The proposed rules would require expanded reporting about separately managed accounts and other aspects of an adviser’s business, allow consolidated registrations for certain private fund advisers that operate a single...more

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