SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers

The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers.  The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs for the protection of investors.

The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the Asset Management Unit of the Division of Enforcement jointly sponsor the compliance outreach program.  The national seminar will be held on April 19 at the SEC’s Washington, D.C., headquarters from 8:30 a.m. to 5:30 p.m. ET.  In-person attendance is limited to 500; a live webcast will be available at www.sec.gov.

The seminar agenda is here. Topics to be discussed include OCIE’s program priorities in 2016, private fund adviser issues, compliance, and rulemaking.

“We look forward to the participants discussing ideas that will be beneficial for both senior officers and their firms,” said OCIE Director Marc Wyatt.  “Attendees will learn what other firms are doing to comply with certain regulations and the SEC staff’s perspective regarding interpreting, examining, and enforcing these regulations.”

"The national compliance outreach program provides an important opportunity for the investment management compliance community to hear directly from SEC staff and for regulators to gain a better understanding of the issues and concerns facing compliance professionals,” said Division of Investment Management Director David Grim. 

Investment adviser and investment company senior officers may register online for the event here.  Registration instructions also will be sent to SEC-registered advisers using the e-mail account on the adviser’s most recent Form ADV filing.  For more information, contact: ComplianceOutreach@sec.gov