Compliance Outreach Program — National Seminar
May 12, 2017
The National Seminar is held at SEC headquarters in Washington, DC (generally in the Fall or Winter) and covers various broad topics applicable to larger advisory firms and investment companies. The topics focus on compliance-related issues relevant for Chief Compliance Officers (CCOs) and other senior officers of larger advisers and may also include topics that relate to investment companies. This seminar consists of panel discussions among SEC staff, CCOs and other industry representatives. SEC panelists generally include staff from the Office of Compliance Inspections and Examinations (including examination staff from various regional offices), Division of Investment Management, the Division of Enforcement's Asset Management Unit ("AMU") and other SEC offices or divisions. Industry panelists are generally CCO and senior officers, with particular importance placed on including firms ranging in asset size, services and products offered, and complexity. The National Seminar is open to approximately 500 in-person attendees and is available via live and archived audio webcast. In-person attendees can submit question cards, which the various panels will attempt to address, time permitting.
If you are a CCO or other senior officer and are interested in speaking at future National Seminars or have suggestions for panel discussions, please send an email to ComplianceOutreach@sec.gov.