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SEC Examinations & CCOs, Workshop

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

Registration as an investment adviser

  • 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…

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Simmons & Simmons
One Ropemaker Street
London EC2Y 9SS
United Kingdom.


W_SIM1RC  Simmons & Simmons is a leading international law firm with fully integrated teams working through offices in Europe, the Middle East and Asia, and brings experienced professionals to some of the most active growth markets today. Our focus on a small number of sectors means we are able to understand and respond to our clients’ needs, and we advise a number of the FTSE 100 and Fortune Global 500 companies. Our industry sectors are: Asset Management & Investment Funds, Energy & Infrastructure, Financial Institutions, Life Sciences and Telecoms, Media & Technology (TMT). We have a track record for innovation and delivering value to clients through new ways of working.
Early Bird Rates available now 
Save up to £200.
Book 3 delegates and the third delegate goes free for any single event.

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CPD/CLE accreditation:

Solicitors Regulation Authority: CPD – 4 hours 25 minutes
New York and California: CLE – 5 hours