2008 CCOutreach Regional Seminars
General Information

This year's seminars will focus on the compliance deficiencies most frequently identified in examinations conducted during the past year. Deficiencies in the following strategic risk areas will be discussed:

• Compliance Rule;
• Information Processing and Protection;
• Performance Advertising and Marketing;
• Personal Trading;
• Brokerage Arrangements and Execution;
• Information Disclosures, Reporting and Filings; and
• Portfolio Management.

SEC examiners will discuss deficiencies in these areas, how examiners identify them, and corrective actions funds and advisers have taken to address them. Some seminars will feature a supplemental session designed to address the compliance concerns of smaller and newly-registered investment advisers and a general question and answer session.

http://www.sec.gov/info/cco/ccorsgeninfo2008.htm