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

Speakers

David Bartels

Deputy Chief Counsel of the Division of Investment Management, U.S. Securities & Exchange Commission

Mark Berman

CEO, CompliGlobe

Mavis Kelly

Assistant Director, Office of Compliance, Inspections & Examinations, U.S. Securities & Exchange Commission