Upcoming Events

CompliGlobe organise, lead and participate in regulation and compliance conferences, briefings, workshops, webinars and other events around the world. Please take a look at the schedule of upcoming events or browse our events archive where you can download presentations , briefings and other materials.

December 2011: Complimentary SEC Briefings

In December CompliGlobe hosted morning briefings in Zurich and Tel Aviv following the SEC's adoption of the new Dodd-Frank exemptions from Advisers Act registration – the biggest event in US regulation in years. 

Topics covered included:

• The new exemptions from registration
• Implementation dates for the new rules
• How to structure "participating affiliate" arrangements
• Form ADV and the SEC registration process – full registration or exempt reporting advisers
• Key SEC expectations
• How to leverage local requirements to satisfy SEC needs
• SEC inspection and enforcement trends
• Latest implementation dates for the new rules