On Tuesday 15 July 2014 – a seminar is being held to promote communication between the U.S. SEC staff and industry participants in the Channel Islands on compliance issues of relevance to Investment Advisers and Collective Investment Funds.

The training will provide

1. an overview of the SEC’s regulatory framework over Investment Advisers, including Advisers to Collective Investment Funds,
2. an overview of the SEC’s examination and enforcement programmes, and
3. ways in which firms can build an effective compliance programme.

The seminar will be a forum to discuss compliance issues in a practical way, to share experiences, and to learn about effective compliance practices.

The seminar is designed for Chief Compliance Officers and other Senior Officers of Investment Advisers and Collective Investment Funds and will emphasise the importance of compliance throughout adviser firms’ business operations.

http://www.jerseyfsc.org/pdf/SEC-Seminar-15July2014.pdf