Compliance Outreach - Investment Advisers and Investment Companies
Through its Compliance Outreach Program, the SEC seeks to improve compliance by interacting with the chief compliance officers (CCOs) and other senior officers at registered investment advisers and investment companies.
The program is designed to provide a forum for CCOs and others to discuss compliance by sharing their views and experiences with regulators and collectively emphasizing the importance of compliance throughout a firm's business operations.
CCOs and other senior officers at investment firms can participate in an annual National Seminar as well as regional events held at various locations across the country. The programs for investment advisers and investment companies are typically co-sponsored by the SEC's Division of Examinations, Division of Investment Management, and Division of Enforcement (Asset Management Unit).
Last Reviewed or Updated: Nov. 26, 2025