SEC Inspections & CCOs 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-
SEC Inspections & CCOs 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-US manager that is registered with the SEC. SEC Inspections and CCOs is led by Mark Berman of ComplGlobe Ltd., a former SEC lawyer and editor of SEC Regulation Outside the United States. It includes presentations by Robert Plaze, Deputy Director for Regulation of the SEC’s Division of Investment Management and Andrew Bowden, Associate Director of the SEC’s Office of Compliance Inspections and Examinations.
