Compliance and Examinations

14:15 - 15:15
1970/01/01
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

« Back to previous page