SEC Inspections & CCOs is an intensive, interactive half day workshop that examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and a SEC inspection for a non-U.S. manager that is registered with the SEC.

SEC Inspections & CCOs SEC Inspections and CCOs is led by Mark Berman of CompliGlobe Ltd., a former SEC lawyer and editor of SEC Regulation Outside the United States. It includes presentations by Robert Plaze, Associate Director for Regulation of the SEC's Division of Investment Management, and Kevin Goodman, Assistant Director of the SEC's Office of Compliance Inspections and Examinations. The workshop is suitable for those with little or no knowledge of the U.S securities laws, the SEC and the SEC’s rules and regulations.


London: 11th June 2010
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The SEC Inspections & CCOs workshop is held in conjuction with InvestoRegulation's 14th annual conference featuring speakers from the US Securities & Echange Commission, European regulators and more.
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SEC Inspections & CCOs will cover:
• The legal and compliance requirements imposed on investment companies and investment advisers
• The role and responsibilities of Chief Compliance Officers
• What is involved in an SEC compliance programme
• How to conduct a "not less than annual" review of a compliance programme
• How does the SEC liaise with regulators from other jurisdictions
• How are funds and advisers risk-assessed and selected for inspections
• Implementing and administering compliance programmes (written policies and procedures)
• How can you prepare for an inspection?
• Inspections of non-US entities: what the SEC staff is looking for, how do they identify which advisers to review and how do they conduct an examination
• What follows the inspection?
• How does the SEC staff liaise with other regulators?


Solicitors Regulation Authority: CPD - 4 hours

New York and California: CLE - 4 hours 40 minutes


Who should attend SEC Inspections & CCOs?
• Compliance Officers
• Non-U.S. issuers of securities and ADRs
• Hedge Fund Managers
• Brokers
• Legal Advisors
• Corporate Secretaries
• Corporate Financiers
• Finance Directors
• Financial Services Advisors
• Fund Managers
• Prime brokers
• Exchange officials
• Investor Relations Managers
• Regulators
• Pension Fund Managers