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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.

The SEC Inspections & CCOs workshop is held in conjunction with InvestoRegulation's 14th annual conference SEC Regulation Outside the United States featuring speakers from the US Securities & Exchange Commission, and European Regulators.

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Solicitors Regulation Authority: CPD - 4 hours
New York and California: CLE - 4 hours 40 minutes
Agenda for the day:
08.30 Registration
09.00 Workshop commences
10.30 Morning coffee break
12.30 End of workshop


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?


SEC Regulation Outside the United States, 10th June 2010
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The 14th annual SEC Regulation Outside the United States, explores the effects of the credit crisis, the SEC?s response and how the SEC regulates capital markets. A faculty of current and former senior SEC officials, non-US regulators and distinguished industry leaders will guide you through the developments that have had an incalculable impact on the world?s markets and the 'real economy' and the SEC's role in this.

The world remains seized by the credit crisis: how are the SEC and other regulators responding?

Attend SEC Regulation Outside the United States and hear directly from key representatives at the SEC how they legislate and enforce US securities laws, and how these affect companies outside the US.

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Workshop: SEC Basics, 9th June 2010
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SEC Basics is an intensive, interactive workshop that examines the workings and structure of the U.S. Securities and Exchange Commission, the U.S. securities laws and the SEC’s rules and regulations. 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.