Update on Current SEC Examinations for UK SEC–registered Firms

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

All the times are in GMT

Speakers:

• 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