SEC to Hold Compliance Outreach Program

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The Securities and Exchange Commission 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 these firms’ Chief Compliance Officers (CCOs) and other senior personnel 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 January 30 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

The seminar agenda is here.  Topics to be discussed include program priorities in 2014, private fund advisers, registered investment companies, valuation, and the role of the CCO.

“The compliance outreach program is an important part of the Commission’s initiative to share information about observed risks to assist firms in assessing and enhancing their compliance and control programs,” said OCIE Director Andrew Bowden.  “Past compliance outreach program events have been well attended and well received, and we look forward to a candid exchange of ideas with participants at our upcoming event.”

“Mutual funds and investment advisers are the pathways through which most Americans access the securities markets.  It is important that regulators take proactive steps such as sponsoring this seminar to work with the asset management industry to promote compliance and protect investors,” said Division of Investment Management Director Norm Champ.

Investment adviser and investment company senior officers may register online for the event here.  If registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first-registered basis.  Registration instructions also will be sent to SEC-registered advisers using the e-mail account on the adviser’s most recent Form ADV filing.