CCOutreach National Seminar for Investment Adviser, Investment Company, and Broker-Dealer Chief Compliance Officers
Tuesday, January 26, 2010

The CCOutreach program for Chief Compliance Officers (“CCOs”) is designed to further promote strong compliance practices for the protection of investors. The program is intended to foster communication about compliance risks and effective compliance controls, with the goal of helping CCOs foster stronger compliance programs within their firms. This seminar is intended to address the compliance issue and concerns for investment adviser, investment company, and broker-dealer CCOs.

Seminar Materials:
Agenda | Slides | Speaker Biographies

Webcast Archives

• Morning Session
   
  
  • Windows Media Player
     
• Afternoon Session
   
  
  • Windows Media Player

http://www.sec.gov/news/otherwebcasts/2010/ccons012610.shtml