SEC vs. FCA: How to Mind the Gap

June 26 2019 - 11:00am - 12:00pm BST
ACA Compliance (Europe)
Crystal Christian, Flavia Lamb

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 the two regulators, key compliance areas of divergence and how to best implement and manage a dual regulatory compliance program.


Topics include:

  • 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?