• SEC Regulation Think-In 2020 - 15 and 16 September 2020

Compliance, GDPR Cybersecurity and Examinations

16:00 - 17:00

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


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