Compliance Outreach Program — National Seminar
The Compliance Outreach Program includes a National Seminar that is held biennially at SEC headquarters in Washington, D.C.
The National Seminar can cover 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 also may include topics that relate to investment companies.
This event consists of panel discussions among SEC staff, CCOs, and other industry representatives. SEC panelists generally include staff from the Division of Examinations, Division of Investment Management, and Division of Enforcement's Asset Management Unit. Industry panelists are generally CCOs 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 viewable via livestream or archived webcast.
CCOs or other senior officers should contact ComplianceOutreach@sec.gov if interested in speaking at a future National Seminar or sharing suggestions for panel discussions.
Last Reviewed or Updated: Nov. 30, 2022