AIMA APAC Webinar: SEC Inspections: New Focus on APAC 2021 | Alternative Investment Management Association (AIMA) | 5 July 2021 | Webinar
Venue
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| Event Date |
Tue Jul 6 HKT (over 3 years ago)
In your timezone (EST): Mon Jul 5 8:30pm - Mon Jul 5 9:30pm |
| Location | Webinar |
| Region | APAC |
Details
SEC inspections of Registered Investment Advisers shifted to a fully-remote process as a result of COVID-19, and without the need for examination staff to be "on site,” inspections of non-U.S. advisers have markedly increased during the second half of 2020 and even more so throughout the first six months of 2021. Throughout Asia-Pacific, new RIA inspection notices are occurring at a frequency that is more common for US based RIAs, with updated areas of interest by the SEC.
In our experienced speakers will share their experiences working on recent SEC inspections of APAC managers, and provide insights on how to prepare for SEC inspections.
Speakers
2021 Speakers
MODERATOR:
Kher Sheng Lee
Managing Director, Co-Head of APAC and Deputy Global Head of Government Affairs, AIMA
SPEAKERS:
Brian Daly
Partner, Global Funds Regulatory Practice, Akin Gump
Aaron Weiss
Head of Regulatory Compliance Consulting Practice, APAC, Kroll’s Duff & Phelps