SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers
April 30, 2015
The Securities and Exchange Commission today announced the schedule for Compliance Outreach Program regional seminars it is sponsoring in six cities later this year.
The seminars are jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement’s Asset Management Unit. The events provide an opportunity for SEC staff to share information about risks, priorities, and deficiencies observed in examinations or investigations and to discuss how senior executives and compliance professionals have addressed such matters.