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.
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|
All the times are in GMT
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