CCOs and SEC Examinations – 7 November 2023

This half day workshop examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance program, an annual review and an SEC inspection of a non-U.S. investment adviser that is registered with the SEC.

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, responsibilities and liability of supervisors and Chief Compliance Officers
• Written policies and procedures; controls for ERAs
• Hot Topics: the Marketing Rule, oversight, data protection, cybersecurity
• What does the Division of Examinations do?
• How does the SEC liaise with non-U.S. regulators?
• 2023 Examination priorities – and looking ahead to 2024…
• How are RIAs risk-assessed and selected for examination?
• How should you prepare for an examination?
• Examinations of non-U.S. firms
  • Types of examinations
  • What happens before, during and after an examination
  • Deficiency letters and enforcement trends

Speakers

Mark Berman

CEO, CompliGlobe Ltd.

Natasha Greiner

Deputy Director, Division of Examinations, U.S. Securities and Exchange Commission

Robert Shapiro

Assistant Director, Division of Investment Management, S.E.C.