• SEC Regulation Think-In 2020 - 15 and 16 September 2020

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


Mark Berman
Mark Berman

CEO, CompliGlobe

Natasha Greiner
Natasha Greiner

Associate Director, OCIE, U.S. Securities & Exchange Commission

Jennifer Songer
Jennifer Songer

Branch Chief, Division of Investment Management,, U.S. Securities and Exchange Commission