CCOs and SEC Examinations (Day 3) 2024: 13:15 – 17:30 GMT

This half day workshop examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance program, an annual review and an SEC inspection of a non-U.S. investment adviser that is registered with the SEC.

SEC Examinations will cover the following topics:

Registration and exemptions with the SEC
The legal and compliance requirements imposed on RIAs and ERAs
The role, responsibilities and liability of supervisors and Chief Compliance Officers
Written policies and procedures; controls for ERAs
Hot Topics: off-channel communications, the Marketing Rule, oversight, data protection, cybersecurity
What does the Division of Examinations do?
How does the SEC liaise with non-U.S. regulators?
2025 Examination priorities
How are RIAs risk-assessed and selected for examination?
How should you prepare for an examination?
Examinations of non-U.S. firms
- Types of examinations
- What happens before, during and after an examination
- Deficiency letters and enforcement trends

Speakers

Mark Berman

CEO, CompliGlobe Ltd.

Peter Haggerty

Senior Regulatory Counsel, Division of Examinations, IA/IC Exam Program, U.S. Securities and Exchange Commission

Jennifer Porter

Assistant Director, Division of Investment Management, U.S. Securities and Exchange Commission