Upcoming Events

CompliGlobe organise, lead and participate in regulation and compliance conferences, briefings, workshops, webinars and other events around the world.

Details of upcoming events are published here on a regular basis.

You can also browse our events archive where you can download presentations , briefings and other materials.

SEC Regulation Outside the United States

London, June 2019

Unique one day conference that briefs European financial services practitioners on how the SEC administers and enforces the U.S. securities laws – and what it means to you. SEC officials and other regulatory experts guide you through the nuances of current and pending U.S. regulation and legislation. Further information

SEC Basics workshop in London

London, June 2019

SEC Basics is an intensive, interactive workshop suitable for those with little or no knowledge of the U.S. securities laws, the SEC or the SEC’s rules and regulations.  Further information

SEC Examinations Workshop in London

London, June 2019

Half day workshop examining the responsibilities of Chief Compliance Officers and explores what is involved in a compliance programme, an annual review and an SEC inspection of a non-US manager that is registered with the SEC. Further information