2017 Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers
The seminars are 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 events provide 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.
All regional seminars included an overview of OCIE’s 2017 priorities and individual seminars featured the following panel discussions on current topics in investment management regulation:
- Portland, Oregon – May 17 (8:30 a.m. to 12:30 p.m.): Key examination program initiatives, examination procedures and selection processes, and recent trends and issues in the Enforcement Division's Asset Management Unit.
- New York – June 7 (12:30 p.m. to 5:00 p.m.): Staff examinations and observations, and topics of interest to advisers to private funds.
- Boston – June 13 (8:30 a.m. to 1:00 p.m.): Key examination program initiatives, typical examination process, and topics of interest to advisers to private funds.
- Chicago – June 13 (8:45 a.m. to 3:15 p.m. Central Time): Key examination program initiatives, examination procedures and selection processes, common examination deficiencies, data analytics, and several hot topic panels generally applicable to both small and large firms.