SEC Examinations – 17 September 2020
Preparation for compliance Virtual Workshop 13.00 – 16.30
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 RIAs and ERAs
- The role and responsibilities and liabilities of Chief Compliance Officers and supervisors
- COVID-19, GDPR/data protection, cybersecurity, remote working and Brexit
- How does the SEC liaise with non-U.S. regulators?
- What does OCIE do?
- Examination priorities
- How are firms risk-assessed and selected for examination?
- How should you prepare for an examination?
- Examinations of non-US firms:
- Types of examinations
- What happens before, during and after an examination?
- Deficiency letters and enforcement trends
Assistant Director, Division of Investment Management, U.S. Securities and Exchange Commission
Associate Director, OCIE, U.S. Securities & Exchange Commission
Branch Chief, Division of Investment Management,, U.S. Securities & Exchange Commission