Compliance Outreach Program
May 12, 2017
The Compliance Outreach Program was formed to promote open communications and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues. It is designed to provide a forum to discuss compliance issues in a practical way, to share experiences, and to learn about effective compliance practices. The program features a number of elements, including regional events at various locations across the country and national events sponsored annually in Washington, DC.
The Compliance Outreach Program for investment companies and investment advisers is co-sponsored by the SEC’s Division of Examinations, Division of Investment Management, and Division of Enforcement's Asset Management Unit ("AMU"). The Compliance Outreach Program for broker-dealers is sponsored by the SEC’s Division of Examinations, in coordination with the Division of Trading and Markets, and by the Financial Industry Regulatory Authority (“FINRA”).