Careers
Sorry, but Javascript is not enabled in your browser!
HomeServicesWhy Choose UsNews & EventsContact
SEC3 and CCO3helping organizations bridge the SEC compliance knowledge gap
Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators. learn more »
SEC3 is a recognized industry leader providing independent regulatory and compliance services.
We offer a full suite of compliance and regulatory services to hedge fund, private equity and real estate managers and other advisers as well as investment companies and broker-dealers. learn more »
CCO3 is a leading provider of Mutual Fund Chief Compliance Officer outsourcing
Our outsourced Mutual Fund CCO solution provides a highly qualified named CCO supported by a team of experienced professionals. The result? Company directors and trustees feel confident that regulatory liability is expertly managed and under control. learn more »
Communiques
How to Make $13 Million Before the New Year
The SEC announced on December 13 that they have brought charges against a New Jersey man and his company for allegedly committing fraud in a pump-and-dump scheme resulting in ill-gotten... read more »
SEC Raises Awareness Surrounding CCO Outsourcing
Yesterday, the SEC indirectly affirmed that registered investment advisers and investment companies can outsource their CCO to an unaffiliated third party and satisfy their 206(4)-7(c) and 38(a)-1(a)(4) obligations. However, advisers... read more »
SEC Provides Clarity on When and How the Enforcement Division Goes After CCOs
Yesterday, Director of the Enforcement Division of the Securities and Exchange Commission, Andrew Ceresney was the keynote speaker at the National Society of Compliance Professionals National Conference in Maryland. His... read more »
The SEC Outdoes Itself Again Announcing A Record Year for Enforcement Action
The Securities and Exchange Commission announced on October 22, 2015 a comprehensive report describing the results of enforcement actions taken against advisers in fiscal year 2015, which ended in September.... read more »
The Hunt Continues: SEC Goes After Large Private Equity Firm for Undisclosed Fee…
On October 7, 2015, the SEC announced a large settlement with a private equity firm charged with failure to disclose. The SEC said that the firm failed to sufficiently disclose... read more »
Adviser Settles SEC Cyber Enforcement Action
The Securities and Exchange Commission announced on September 22, 2015 that an investment adviser has agreed to settle charges that it failed to establish the required cybersecurity policies and procedures... read more »
Events
COMPLIANCE SCIENCE SUMMIT 2015When: November 17, 2015
Where: Convene Midtown East | 730 Third Avenue | New