SEC Examinations – 9 November 2022

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 Ltd.

Peter Haggerty
Peter Haggerty

Senior Regulatory Counsel, Division of Examinations, U.S. Securities and Exchange Commission

Jennifer Songer
Jennifer Songer

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