SEC Inspections & CCOs1st June 2012, London
Programme | Speakers | Sponsors & Partners | Venue | Register
SEC Inspections & CCOs examines the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and an SEC inspection of a non-US investment adviser that is registered with the SEC under the US Investment Advisers Act of 1940.
SEC Inspections & CCOs features presentations by Robert Plaze, Deputy Director of the SECs Division of Investment Management, Andrew Bowden, Associate Director of the SECs Office of Compliance Inspections and Examinations, in charge of the agency's national inspection programme, and Mark Berman, CEO of CompliGlobe and a former SEC lawyer.
SEC Inspections & CCOs will cover the following topics: Registration as an investment adviser
Reporting as an Exempt Reporting Adviser
The legal and compliance requirements imposed on investment advisers
The role and responsibilities of Chief Compliance Officers
Implementing and administering compliance programmes (written policies and procedures)
What is involved in a compliance programme for a registered adviser and an Exempt Reporting Adviser
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 advisers risk-assessed and selected for inspection?
How to prepare for an inspection?
Inspections of non-US entities: what the SEC staff is looking for, how they identify which advisers to review and how they conduct an examination
What follows the inspection?
How does the SEC staff liaise with other regulators?
CPD/CLE accreditation:Solicitors Regulation Authority: CPD - 4 hours
New York and California: CLE - 4 hours 40 minutes
Who should attend SEC Inspections & CCOs? SEC registered investment advisers
Exempt Reporting Advisers
Foreign Private Advisers
Hedge Fund Managers
Financial Services Advisors
Pension Fund Managers