• Welcome to SEC Compliance Consultants
  • Welcome to SEC Compliance Consultants
  • Welcome to SEC Compliance Consultants
  • Welcome to SEC Compliance Consultants
  • Welcome to SEC Compliance Consultants
  • Welcome to SEC Compliance Consultants
  • Welcome to SEC Compliance Consultants
  • Welcome to SEC Compliance Consultants
  • Welcome to SEC Compliance Consultants
Calendar

SEC3 is active in the Financial Community and participates in several Industry Events, Roundtables & Conferences as well as hosts educational webinars.

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DateCategoryPlaceName of event
 
October 2010
10/27/10 - 10/27/10Industry EventThe Princeton Club, New York, NYHedge Fund Registration Master Class
10/25/10 - 10/27/10Industry EventThe Princeton Club, New York, NY5th Annual Meeting of the Hedge Fund Operations Association
 
September 2010
09/29/10RoundtableBlank Rome LLP, The Chrysler Building, 450 Lexington Avenue, 22nd Floor Board RoomNYC Compliance Roundtable
09/20/10Industry EventLowes Philadelphia HotelIA Compliance Fall Conference 2010
 
August 2010
08/11/10RoundtableHaynes and Boone, LLPDallas Compliance Roundtable
 
July 2010
07/22/10RoundtableBingham McCutchen, Three Ebarcadero Center, 27th FloorSan Francisco Compliance Roundtable
07/19/10Roundtable355 South Grand Avenue, Los Angeles, CALos Angeles Compliance Roundtable
07/01/10RoundtableBlank Rome LLP, The Chrysler Building, 450 Lexington Avenue, 22nd Floor Board Room NYC Compliance Roundtable
 
April 2010
04/21/10Industry EventBayards, One Hanover Square, New York, NY 3rd Annual Hedge Fund Operations & Technology
04/07/10RoundtableThe Chrysler Building, 405 Lexington Avenue, 22nd Floor, New York, NYNYC Compliance Roundtable - Latest Regulatory Issues
 
February 2010
02/01/10 - 02/02/10Industry EventPrinceton Club of New York, 15 West 43rd St., New York CityInvestment Advisor Compliance & Hedge Fund Regulation and Compli
 
January 2010
01/12/10WebinarOnlineIA Week Weninar - The New Custody Rule and the Implications
 
December 2009
12/17/09Roundtable2600 One Commerce Square, Philadelphia, PAPhiladelphia Roundtable - Current Industry Issues
12/02/09Industry EventBayards, One Hanover Square, New York, NYHedge Fund Compliance & Risk: A Self-Help Guide
 
November 2009
11/17/09RoundtableThe Chrysler Building, 405 Lexington Avenue, 22nd Floor, New York, NY"NYC Roundtable - Pay to Play" and custody proposals, latest SEC
 
October 2009
10/30/09Speaking EngagementEssex House, New YorkComplinet's 3rd Annual New York Customer Summit
10/06/09Speaking EngagementMetropolitan Club, New YorkFall Hedgeworld Fund Services Conference
10/01/09RoundtableBelle Haven Club, 100 Harbor Dr, Greenwich, CTSEC Hedge Funds Registration Implications & 2009 SEC exam areas
 
July 2009
07/13/09RoundtableThe Chrysler Building, 405 Lexington Avenue, 22nd Floor, New York, NYThe Top 2009 SEC Examination Focus Areas

Company News

SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers Today, July 21st, 2010, the President signed into law the Dodd-Frank Wall Street Reform and Consumer...

SEC3 Offers Private Fund Registration and Compliance Services Our SEC knowledge and private fund experience is what differentiates us from our competitors. ...

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