30 September 2015, London
SEC Examinations and 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 manager that is registered with the SEC.
SEC Examinations & CCO's, Workshop June 2015, London
- Exemptions from registration and their implications under the Advisers Act
- The legal and compliance requirements imposed on investment advisers
- The role and responsibilities of Chief Compliance Officers, supervisors and others
- Implementing and administering written policies and procedures for a registered adviser, and for an Exempt Reporting Adviser
- How to conduct a “not less than annual” review
- Adviser priorities: the role of senior management, and conflicts and risk identification and resolution Read more ..
Mark Berman, CEO, CompliGlobe
Mark Berman advises and conducts training programmes for hedge funds, investment managers, issuers, regulators and multi-national banks and brokers in Europe and Asia on SEC practice outside the United States, UK and EU issues and cross-border regulatory, compliance and AML matters…
One Ropemaker Street
London EC2Y 9SS
Solicitors Regulation Authority: CPD – 4 hours 25 minutes
New York and California: CLE – 5 hours