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  • SEC Regulation Outside the United States, Conference (19 June 2018)
  • SEC Basics, Workshop (18 June 2018)
  • SEC Examinations, Workshop (20 June 2018)

Compliance and Examinations

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

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

  • Mark Berman CEO - CompliGlobe
  • Marita Bartolini Assistant Director Office of Compliance Inspections & Examinations - U.S. Securities & Exchange Commission
  • Regina Thoele SVP Compliance - National Futures Association

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