Library

In this section, you will find the latest research, white papers and cco communiques from the SEC3 Staff.

Financial Crisis - A Stepping Stone to an Enhanced Compliance Culture (11/11/09)
The compliance community is eager to see the full extent to which the Securities and Exchange Commission ("SEC") will respond to the financial crisis, as well as the outcome of reform measures being proposed from Congress and the executive branch. Many in the industry are wondering where the SEC will focus when examining firms and how to prepare.
SEC Registration for Private Fund Investment Advisers - It's Not as Scary as (10/26/2009)
The hurdles associated with SEC registration may seem high at first glance. However, many currently unregistered advisers have adopted compliance programs and already have many of the controls in place that would satisfy the SEC's expectations.
Hedge Fund Registration (9/2/2009)
On July 15, 2009, the U.S. Department of the Treasury proposed amendments to the Investment Advisers Act of 1940, as amended (the "Advisers Act") that would have significant implications to advisers to private pools of capital such as hedge funds, venture capital funds, private equity funds, and other private pools including both U.S. and non-U.S. domiciled products.

Whats on the SEC's Radar - Top Ten
This past July the SEC published a Compliance Alert summarizing issues found during recent examinations. The following ten discussion items address the top areas addressed by SEC staff in speeches and...

Guide to SEC Registration of Hedge Funds
Hedge Fund Reguslation - A white paper prepared by SEC3 describing the SEC registration process for hedge funds including the Compliance Rule [206(4)-7] under the Advisers Act of 1940....

Decoding Compliance Buzzwords:The Practical Application of Risk Assessment & Forensic Testing
Risk assessment is a phrase used to describe the process of identifying and estimating the exposure to real and potential risks. Forensic testing is colorful shorthand to refer to periodic tests used...

SEC3 Article Published by HedgeWorld.com Today, HedgeWorld.com published an article written by Janaya Moscony and Jose Santiago, both of SEC...

Hedge Fund Registration - SEC3 Publishes Hedge Fund Guide to SEC Registration Hedge Fund Registration with SEC - SEC3 Publishes Guide to SEC Registration of Private Fund Inv...