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  • SEC Regulation Outside the United States conference (5 November 2019)
  • SEC Examinations, Workshop (6 November 2019)
  • SEC Basics, Workshop (4 November 2019)

Compliance, GDPR and Examinations

13:45 - 14:45
2019/11/05

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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