SEC Regulation Outside the US Conference

September 28-30, 2015
London

Partner Rita Molesworth spoke at SEC Regulation Outside the United States Conference in London.

Rita Molesworth served as a panelist on the topic of "Compliance for CFTC registered firms - CTAs, CPOs and swap dealers." This panel reviewed the following issues:

  •     SEC compliance expectation: What must you do?
  •     Monitoring and testing
  •     What to do when the SEC examines you