• SEC Regulation Outside the United States, Conference (19 June 2018)
  • SEC Basics, Workshop (18 June 2018)
  • SEC Examinations, Workshop (20 June 2018)

SEC Examinations – 20 June 2018

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


Mark Berman
Mark Berman

CEO, CompliGlobe

Sara Cortes
Sara Cortes

Assistant Director, Investment Adviser Regulation Office, U.S. Securities and Exchange Commission

Regina Thoele
Regina Thoele

SVP Compliance, National Futures Association