SEC vs. FCA: How to Mind the Gap

Outside of the U.S., the UK is home to the largest number of SEC Registered Investment Advisers globally. This, combined with FCA authorisation, requires the creation and implementation of a joint compliance program. Managing a compliance program which covers two different regulatory regimes poses its own set of unique difficulties and complications.

Join us on our upcoming complimentary webcast, where we will discuss some of the differences between the structure and philosophy of FCA and SEC regulators, key compliance areas of divergence and how to best implement and manage a dual regulatory compliance program.

Discussion Topics:

• What are some of the main areas of difference between an SEC and FCA compliance program?
• How do the SEC and FCA conduct examinations of firms?
• How can my firm effectively balance a dually regulated compliance program?