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2015 Compliance Outreach Program for SCI Entities

May 12, 2017

The focus of the 2015 Compliance Outreach Program for SCI Entities is to promote strong systems compliance and integrity practices for the protection of investors. The program is designed for Chief Information Officers, Chief Information Security Officers, and other senior personnel at entities subject to Regulation Systems Compliance and Integrity (SCI) (collectively, “SCI entities”). The SEC's Office of Compliance Inspections and Examinations Technology Controls Program, in coordination with the SEC's Division of Trading and Markets, is sponsoring the program.

The program is designed to address current issues in compliance and regulation and to provide professionals at SCI entities a forum for discussions with regulators about compliance issues and practices. Additionally, the program will offer professionals at SCI entities the opportunity to ask questions and interact with staff from national and regional SEC offices.

Location Date and time Registration
Securities and Exchange Commission
200 Vesey St., Suite 400
New York, NY 10281
July 16, 2015
8:30 am — 12:00 pm
Click here to register
Last day to register is June 26, 2015
Securities and Exchange Commission
175 W. Jackson Boulevard, Suite 900
Chicago, IL 60604
July 29, 2015
8:30 am — 12:00 pm
Click here to register
Last day to register is July 10, 2015

There is no cost to attend the program. Registration is open to all SCI professionals with limited seating available. If registration requests exceed capacity, CCOs, CEOs, CIOs, CISOs, and CROs from SCI entities will be given priority on a first-registered basis. Due to limited space for these events, registration requests that exceed capacity will be placed on a waiting list and will be contacted by email if space becomes available. Attendees may submit questions in advance, which the various panels will attempt to address, time permitting.

In support of the Compliance Outreach Program for SCI Entities, we have an email address, Please feel free to contact us with any questions you may have about registration for the program.

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