London, 30 September 2015
SEC Inspections and CCOs examines 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
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Author: webgobe
SEC Basics Workshop in London
London, 28 September 2015
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
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SEC Regulation Outside the United States, Conference in London
London, 29 September 2015
SEC Regulation Outside the United States is your only chance to hear directly from the SEC – four top representatives from the United States Securities and Exchange Commission will be in London in June along with a distinguished faculty of regulatory experts to update you and to guide you through the details of the ever-changing U.S. regulatory system. This one day conference is a unique opportunity to hear directly how and what the latest SEC thinking is on regulato...
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SEC Registration for non-US institutions, investors and regulators
CompliGlobe specialise in advising institutions and investors in the non-US implications of the US securities laws and the SEC's rules and regulations. Mark Berman, head of the practice, is a former senior SEC lawyer who authored the definitive industry guide, SEC Regulation Outside the United States (going into its seventh edition), founded and chairs a conference on the same topic and conducts specialist workshops on SEC regulation and SEC inspections of non-US advisers in Europe and Asia.
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About CompliGlobe
In a complex, fluid world, you need the regulatory adviser with overseas experience: CompliGlobe. Our focus is assisting financial services firms cross-border while minding their various compliance responsibilities. Whether in Asia, Europe or North America, we have specialists who have been there.
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SEC Examinations & CCOs, Workshop in Hong Kong
3rd December 2014, Hong Kong
SEC Inspections and CCOs examines 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
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SEC Regulation Outside the United States, Conference in Hong Kong
Hong Kong, 2nd December 2014
SEC Regulation Outside the United States is your only chance to hear directly from the SEC – three top representatives from the United States Securities and Exchange Commission will be in Hong Kong on 2 December along with a distinguished faculty of regulatory experts to update you and to guide you through the details of the ever-changing U.S. regulatory system. This one day conference is a unique opportunity to hear directly how and what the latest SEC thinking i...
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SEC Basics Workshop in Hong Kong
1st December 2014, Hong Kong
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
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SEC Regulation Outside the United States Conference, London
November 2013
This must-attend conference put attendees directly in front of current and former SEC officials who provided inside knowledge of how the SEC legislates and enforces U.S. securities laws, and how these affect organisations outside the United States.
For non-U.S. financial services practitioners wishing to access the U.S. markets this was a unique opportunity to tap into the combined knowledge and experience of a distinguished faculty of expert speakers to discover what regulator...
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London: Hedge 2010
10th November 2010,
This presentation from Hedge 2010 in London looks at what’s happening in the United States regarding hedge fund managers and asks how does this stack up with the AIFM and EU regulatory structure?
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