Update on Current SEC Examinations for UK SEC–registered Firms

Location The Shard, 32 London Bridge Street

London SE1 9SG

Calendar February 20, 2019

As the season for SEC examinations of UK SEC–registered firms fast approaches, you're invited to join Duff & Phelps and Dechert, for a breakfast seminar where we will discuss the SEC's priorities for 2019.

Register for the seminar

We are delighted to be joined by guest speaker Karen Anderberg, Partner, Dechert.

Topics include:

  • Legal implications for SEC-registered UK firms with poor examinations
  • OCIE priorities for 2019
  • Key topics of consideration in SEC regulatory examinations
  • Areas for ongoing compliance testing for CCOs and what is expected in the current environment
  • Recent SEC risk alert publications

Agenda

 8:30 a.m.   Registration and Breakfast
 9:00 a.m.  Welcome and Seminar
 10:30 a.m.  End

All the times are in GMT

Speakers:

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