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Event Date Tue Jul 6 HKT (12 months ago)
In your timezone (EDT): Mon Jul 5 8:30pm - Mon Jul 5 9:30pm
Location Webinar
Region APAC

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.


2021 Speakers


Kher Sheng Lee
Managing Director, Co-Head of APAC and Deputy Global Head of Government Affairs, AIMA


Brian Daly
Partner, Global Funds Regulatory Practice, Akin Gump

Aaron Weiss
Head of Regulatory Compliance Consulting Practice, APAC, Kroll’s Duff & Phelps