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

Speakers

Mark Berman

CEO, CompliGlobe

Melissa Gainor

Assistant Director, Division of Investment Management, U.S. Securities and Exchange Commission

Natasha Greiner

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

Jennifer Songer

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