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