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.

30 May 2012: London: SEC Basics

SEC Basics is an intensive, interactive workshop that examines the workings and structure of the US Securities and Exchange Commission, the US securities laws and the SEC's rules and regulations. This workshop is suitable for those with no or limited knowledge of the US securities laws, the SEC and the SEC’s rules and regulations.

The workshop is led by Mark Berman of CompliGlobe Ltd, a former SEC lawyer who advises on SEC practice and international financial services regulation.

SEC Basics 2012 will cover:

• The SEC
• Public offerings and private placements
• Continuing obligations and Sarbanes-Oxley
• Liability under the US Federal Securities Laws
• The markets
• Marketing securities to US persons
• Advisers Act registration and the New SEC Exemptions from Registration

To register, click this link

31 May 2012: London: SEC Regulation Outside the United States

SEC Regulation Outside the United States is the only conference of its kind in the world. It is designed to educate non-U.S. financial services practitioners about what regulatory developments from the SEC and other U.S. bodies mean for them. A distinguished faculty of current and former SEC officials as well as many other regulatory experts will guide you through the nuances of current and pending US regulation.

To register, click this link

1 June: London: SEC Inspections & CCOs Workshop

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 investment adviser that is registered with the SEC under the US Investment Advisers Act of 1940.

SEC Inspections and CCOs features presentations by Robert Plaze, Deputy Director of the SEC’s Division of Investment Management, Andrew Bowden, Associate Director of the SEC’s Office of Compliance Inspections and Examinations, in charge of the agency's national inspection programme, and Mark Berman of CompliGlobe Ltd., a former SEC lawyer and CEO of CompliGlobe.

SEC Inspections and CCOs will cover the following topics:

• Registration as an investment adviser
• Reporting as an Exempt Reporting Adviser
• The legal and compliance requirements imposed on investment advisers
• The role and responsibilities of Chief Compliance Officers
• Implementing and administering compliance programmes (written policies and procedures)
• What is involved in a compliance programme for a registered adviser and an Exempt Reporting Adviser
• How to conduct a "not less than annual" review of a compliance programme
• How does the SEC liaise with regulators from other jurisdictions?
• How are advisers risk-assessed and selected for inspection?
• How can you prepare for an inspection?
• Inspections of non-US entities: what the SEC staff is looking for, how do they identify which advisers to review and how do they conduct an examination
• What follows the inspection?
• How does the SEC staff liaise with other regulators?

To register, click this link