CCOs and SEC Examinations – 7 November 2023
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: the Marketing Rule, oversight, data protection, cybersecurity
- What does the Division of Examinations do?
- How does the SEC liaise with non-U.S. regulators?
- 2023 Examination priorities – and looking ahead to 2024…
- 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