• SEC Regulation Outside the United States, Conference (23 June 2017)
  • SEC Basics, Workshop (22 June 2017)
  • SEC and NFA Examinations, Workshop (22 June 2017)

SEC and NFA Examinations – 22 June

Preparation for compliance              Registration   12.45     Workshop 13.00 – 17.30

The SEC and NFA Examinations Workshop examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and an SEC inspection of a non-US manager that is registered with the SEC. Book now!

SEC and NFA Examinations will cover the following topics:         

  • Registration and exemptions with the SEC, NFA and CFTC
  • The legal and compliance requirements imposed on registered firms
  • The role and responsibilities and liabilities of Chief Compliance Officers and supervisors 
  • Written policies and procedures; controls for exempt firms
  • How to conduct a “not less than annual” review
  • Examination priorities
  • How do the SEC and NFA liaise with regulators from other jurisdictions?
  • What does OCIE do?  What does the NFA do?
  • How are firms risk-assessed and selected for examination?
  • How should advisers prepare for an examination?
  • Examinations of non-US firms:
    • Types of examinations
    • Liaising with non-U.S. regulators
    • What happens before, during and after an examination?
    • Deficiency letters and enforcement trends


Mark Berman
Mark Berman

CEO, Compliglobe

Sara Cortes
Sara Cortes

Assistant Director, Investment Adviser Regulation Office, U.S. Securities and Exchange Commission

Patricia Cushing
Patricia Cushing

Director, Compliance, National Futures Association

Pete Driscoll
Pete Driscoll

Acting Director, Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission

Regina Thoele
Regina Thoele

SVP Compliance, National Futures Association