The SEC announced a schedule for regional seminars on compliance that are intended to help chief compliance officers ("CCOs") enhance programs at investment companies and investment advisory firms.
As outlined, the following topics will be addressed at these specific events:
- Portland, Oregon – May 17 (8:30
a.m. to 12:30 p.m.):
- Key examination program initiatives;
- Examination procedures and the selection process; and
- Recent trends in the Asset Management Unit of the Enforcement Division.
- New York – June 7 (12:30 p.m.
to 5:00 p.m.):
- Staff examinations and observations; and
- Topics of interest to private fund advisers.
- Boston – June 13 (8:30 a.m. to 1:00 p.m.):
- Key examination program initiatives;
- Typical examination process; and
- Topics of interest to private fund advisers.
- Chicago – June 13 (8:00 a.m. to
4:30 p.m., in person and via webcast):
- Key examination program initiatives;
- Examination procedures and the selection process;
- Common examination deficiencies;
- Data analytics; and
- "Hot topics" that are applicable to small and large firms.
All seminars will feature an overview of the 2017 priorities of the Office of Compliance Inspections and Examinations.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.