The Securities and Exchange Commission (SEC) has announced open registration for its national investment compliance outreach program.
On December 13, 2013 the U.S. Securities and Exchange Commission issued a press release announcing open registration for its national seminar on compliance outreach for investment companies and advisers. According to the statement, the event is aimed at the Chief Compliance Officers (COOs) of investment firms, whose job is to oversee and enhance SEC compliance programs designed to protect investors.
The Compliance Outreach Program is a joint project of the SEC Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the Asset Management Unit of the Division of Enforcement. The program will be held on 30 January 2014 at the SEC national headquarters in Washington, D.C. between 8:30 am and 5:30 pm EST. As attendance is limited to 500 people, the it will also be simultaneously webcast at www.sec.gov.
The seminar agenda includes a series of five panel discussions punctuated by two fifteen-minute question and answer sessions. Topics of discussion include Office of Compliance inspections and management, private fund advisory topics, valuation issues, CCO obligations, and more. A link to the full agenda is available here.
In the press release, OCIE Director Andrew Bowden described the compliance outreach program as
an important part of the Commission’s initiative to share information about observed risks to assist firms in assessing and enhancing their compliance and control programs. Past compliance outreach program events have been well attended and well received, and we look forward to a candid exchange of ideas with participants at our upcoming event.
Norm Champ, Division of Investment Management Director added that,
Mutual funds and investment advisers are the pathways through which most Americans access the securities markets. It is important that regulators take proactive steps such as sponsoring this seminar to work with the asset management industry to promote compliance and protect investors.
Investment advisers and senior investment officers may register online for the event by clicking here. Registration is processed on a first-come, first-served basis with additional instructions to be sent via e-mail to those who have registered for the event.
Individuals or companies seeking further information may contact: ComplianceOutreach@sec.gov.
A link to the official press release is available here.