SEC Compliance Program for European Investment Advisors
On September 13, MyComplianceOffice co-hosted a webinar with Milne Legal. Our presenters Dustin Milne, Charles Lerner and Laetitia Mantel discussed what an investment advisory firm outside of the US needs to consider when dealing with the US. This included discussions on what defines a US person, when to register with the SEC, how to handle a SEC exam and what sort of compliance program you should have in place.
- Introduction from MCO and Milne Legal (2:58)
- Do I need To Register with the SEC? (18:33)
- Implementation of Your SEC Compliance Program (5:29)
- Preparing for an SEC Exam: Best Practices (8:45)
- Q&A: Your Questions Answered (7:50)
You can access the slides from this webinar here.
Some SEC related content;