SEC Announces 2017 Compliance Outreach Program Seminars for Investment Companies and Investment Advisers

The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program seminars for investment companies and investment advisers.  The seminars will be offered in four cities and are intended to help Chief Compliance Officers (CCOs) and other senior personnel enhance compliance programs at investment companies and investment advisory firms. 

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. 

All regional seminars will include an overview of OCIE’s 2017 priorities and individual seminars will feature the following panel discussions on current topics in investment management regulation:

• Portland, Oregon – May 17 (8:30 a.m. to 12:30 p.m.): Key examination program initiatives, examination procedures and selection process, and recent trends and issues in the Enforcement Division’s Asset Management Unit.
• New York – June 7 (12:30 p.m. to 5:00 p.m.): Staff examinations and observations, and topics of interest to advisers to private funds.
• Boston – June 13 (8:30 a.m. to 1:00 p.m.): Key examination program initiatives, typical examination process, and topics of interest to advisers to private funds.
• Chicago – June 13 (8:45 a.m. to 3:15 p.m. Central Time): Key examination program initiatives, examination procedures and selection process, common examination deficiencies, data analytics, and several hot topic panels generally applicable to both small and large firms. This seminar will be webcast, starting at 8:45 Central, 9:45 Eastern Time.  

Please register here to attend one of the compliance outreach program regional seminars.  Registration for individual events will be closed at least two weeks before the event.  Seating is limited and only the Chicago seminar will be webcast.  If registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first-come, first-registered basis.  For more information, please contact ComplianceOutreach@sec.gov.