2009 CCOutreach Regional Seminars
The 2009 CCOutreach Regional Seminars for adviser and fund chief compliance officers were held in May, June, and July. This year, ten seminars were made available via live audio and video webcast.
Topics covered on the agenda this year included significant focus areas during examinations, including how the staff identifies deficient practices and control weaknesses and controls advisers have instituted to mitigate and manage risks.
Handouts from these Seminars are available at http://www.sec.gov/info/iaiccco/iaiccco-resources.htm.