Update on Current SEC Examinations for UK SEC–registered Firms

February 20, 2019 | (Conference)

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


 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


  • Karen Anderberg, Partner, Dechert
  • Chris Lombardy, Head of Compliance and Regulatory Consulting, North America, Duff & Phelps
  • Jane Stoakes, Director, Compliance and Regulatory Consulting, Duff & Phelps