Compliance Outreach Program for Investment Adviser and Investment Company Chief Compliance Officers
May 12, 2017
The mission of the Compliance Outreach Program is to improve compliance by opening the lines of communication between SEC staff and Chief Compliance Officers (CCOs) and other senior officers of registered investment advisers and investment companies. The program was redesigned in 2011 (it was formerly called the CCOutreach Program) and the intended audience was expanded from CCOs to all senior officers in order to emphasize the importance of compliance throughout firms' business operations. The program 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 in Washington, DC. The 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").
As part of the Compliance Outreach Program, we established an email address, ComplianceOutreach@sec.gov. Please feel free to contact us or your local office (see office contact information at http://www.sec.gov/about/offices/ocie/ocie_org.htm) with any compliance questions or concerns you have regarding any industry or individual practice. You may request anonymity when speaking with the staff.