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U.S. Securities and Exchange Commission

2008 CCOutreach Regional Seminars
General Information

The 2008 Regional Seminars have been completed. Additional seminars will be scheduled in 2009.

This year's seminars focused on the compliance deficiencies most frequently identified in examinations conducted during the past year. Deficiencies in the following strategic risk areas were 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 discussed deficiencies in these areas, how examiners identify them, and corrective actions funds and advisers have taken to address them. Some seminars featured a supplemental session designed to address the compliance concerns of smaller and newly-registered investment advisers and a general question and answer session.



Modified: 09/23/2008