SEC Inspections & CCOs
Fri, 01/06/2012 - 08:30
Conducted by:
InvestoRegulation
Contact:
Petra Johansson 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.
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.
- Special Reports
Latest Special Report
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Thu, 18/04/2013 - 12:00
On 1 March 2013 Swiss fund managers awoke to a new era of regulation under the watchful gaze of FINMA, the Swiss regulator. The regulatory changes reflect recent European regulations under the AIFMD and bring Swiss funds a new imprimatur that will enhance their attractiveness to external investors
Wed, 22/05/2013 - 12:46
Mon, 04/02/2013 - 21:13
Thu, 10/01/2013 - 15:59
As 2013 begins, everything's up for grabs in the alternative fund world. With relocation a hot topic, which jurisdictions are luring fund managers and service providers?
