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Risk Management › Investment Advisers Act of 1940 › Risk Alert

SEC Compliance Consultants, Inc. (SEC³)

Top Tips for Updating Your 2024 Compliance Program

SEC Compliance Consultants, Inc. (SEC³) on

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more

Dechert LLP

OCIE Publishes Risk Alert regarding Safeguarding of Customer Information Stored on Cloud and Other Network Storage Solutions

Dechert LLP on

The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a National Exam Program Risk Alert on May 23, 2019, which identifies security risks and best practices associated with the...more

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