Registration is open for the SEC's compliance outreach program seminars for investment companies and investment advisers. The seminars are intended to help Chief Compliance Officers (CCOs) and other senior personnel improve compliance programs at investment companies and investment advisory firms. All regional seminars will include an overview of the 2017 priorities of the Office of Compliance Inspections and Examinations and individual seminars will feature the following panel discussions on current topics in investment management regulation:
- Portland, Ore. - May 17 (8:30 a.m. to 12:30 p.m.): Key examination program initiatives, examination procedures and selection process, and recent trends and issues in the Enforcement Division's Asset Management Unit;
- New York - June 7 (12:30 p.m. to 5:00 p.m.): Staff examinations and observations, and topics of interest to advisers to private funds;
- Boston - June 13 (8:30 a.m. to 1:00 p.m.): Key examination program initiatives, typical examination process and topics of interest to advisers to private funds;
- Chicago - June 13 (8:00 a.m. to 4:30 p.m.): Key examination program initiatives, examination procedures and selection process, common examination deficiencies, data analytics and several hot topic panels generally applicable to both small and large firms. This seminar will be webcast.
The SEC's Office of Compliance Inspections and Examinations,
Division of Investment Management and the Asset Management Unit of
the Division of Enforcement jointly sponsor the compliance outreach
program.
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