Compliance Outreach Program National Seminar 2020
Feb. 25, 2020
(For Investment Adviser and Investment Company Senior Officers)
Given concerns about coronavirus and out of an abundance of caution, we have decided to postpone the National Compliance Outreach Program Seminar in Washington, D.C. scheduled to take place on April 21, 2020. If appropriate, we will take steps to reschedule this event at a time later this year.
This seminar is jointly sponsored by the SEC's Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement's Asset Management Unit. The event provides an opportunity for SEC staff to share information about risks, priorities, and deficiencies observed in examinations or investigations and to discuss how senior executives and compliance professionals have addressed such matters.
This seminar will be held in Washington, D.C. on April 21, 2020 (8:30 am to 5:30 pm ET). In-person attendance is limited to 500. A live webcast will be available at http://www.sec.gov on the day of the event, which does not require registration. This event will also be available via archived webcast after the seminar.
Investment adviser and investment company senior officers may register online to attend the event in-person. If registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first-registered basis.
Questions for the panels may be submitted prior to the event using the Questions for Panels form.