• SEC Regulation Outside the United States conference (5 November 2019)
  • SEC Examinations, Workshop (6 November 2019)
  • SEC Basics, Workshop (4 November 2019)

SEC Examinations – 6 November 2019

Preparation for compliance              Registration   08.30     Workshop 09.00 – 1.00

The SEC 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 Examinations will cover the following topics:         

  • Registration and exemptions with the SEC 
  • 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 doed the SEC 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


David Bartels
David Bartels

Deputy Chief Counsel of the Division of Investment Management, U.S. Securities & Exchange Commission

Mark Berman
Mark Berman

CEO, CompliGlobe

Mavis Kelly
Mavis Kelly

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