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.
- 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.
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