SEC Inspections Workshop

Join representatives from the SEC's Division of Investment Management and OCIE in London on 1 June at a workshop devoted to CCOs and SEC Inspections.

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About CompliGlobe

In a complex, fluid world, you need a regulatory adviser with global experience. Whether in Asia, Europe or North America, we have specialists who have been there.

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Upcoming Events

Meet senior SEC Staff in London on 31 May at the annual SEC conference

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Enter The Dragon

Obtaining a Hong Kong Securities License - A handy guide to review and understand the requirementsfor obtaining a license from the HK Securities and Futures Commission

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• 01 SEC Inspections Workshop
• 02 About CompliGlobe
• 03 Upcoming Events
• 04 Enter The Dragon
• »
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CompliGlobe is the only regulatory adviser based in multiple locations outside the United States that is dedicated to SEC regulation, managed by a former SEC lawyer and staffed with former Chief Compliance Officers and MLROs. We are independent and staffed by dedicated, experienced professionals.

As your trusted partner, we assess your needs and review your proposed activity, confirm a course of action or recommend other options, carry out research, design and implement your programme, assess effectiveness and propose changes when required. Be it registration or other matters with a regulator, a compliance programme, training activities, company secretarial work or an anti-money laundering programme, we help you achieve your goals in a time- and cost-effective manner.

Compliance and Regulatory Services

Take advantage of our range of SEC Compliance, Regulatory Compliance and other compliance and oversight services: