SEC Announces Compliance Outreach Program Seminar Schedules

March 23, 2017

The SEC announced the opening of registration for its compliance outreach program seminars for investment companies and investment advisers.  The seminars will be offered in four cities:

Portland, Oregon – 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.

The SEC stated that the seminars are intended to help Chief Compliance Officers (CCOs) and other senior personnel enhance compliance programs at investment companies and investment advisory firms.

Click https://www.sec.gov/news/press-release/2017-69 to access the information about the compliance seminars.

Practical implication:  Attend if you can!  These provide invaluable insights for compliance and legal folks.  I will likely attend the Boston seminar.

Posted by:  KOH 03-23-17