Compliance, GDPR and Examinations
14:00 - 15:00
2019/11/05
SEC Regulation Outside the U.S. 2
This expert panel will discuss compliance requirements for non-U.S. registered investment advisers, broker-dealers and companies accessing the U.S. markets, with an emphasis on having policies and procedures reasonably designed to prevent violations and how the SEC examines non-U.S. firms
Speakers
Mavis Kelly Assistant Director, Office of Compliance, Inspections & Examinations - U.S. Securities & Exchange Commission
Christopher Hetner Managing Director, Cyber Risk Management - Marsh & McLennan
Mark Berman CEO - CompliGlobe
Regina Thoele SVP Compliance - National Futures Association
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