U.S. Securities & Exchange Commission
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U.S. Securities and Exchange Commission

2007 CCOutreach Regional Seminars
General Information

This year's seminars will discuss the following topics:

  • The Examination and Risk Assessment Process;
  • Books and Records and Disclosures and Filings;
  • Brokerage Arrangements, Best Execution, Trade Allocation, and Soft Dollars;
  • Portfolio Management; and
  • Marketing, Performance, Advertising, and Distribution.

SEC examiners will discuss the exam program's risk identification process, the role of risk assessment in our exam program, and how the risk identification process can help funds and advisers establish and maintain strong and comprehensive compliance programs. The seminars will address the information and documents requested during exams, various analyses and "forensic tests" that may be performed using this information, frequent exam findings, and factors to consider when establishing compliance controls.



Modified: 07/30/2007