FOR IMMEDIATE RELEASE
2015-79
Washington D.C.,
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.
The 2015 regional seminars will include an overview of the SEC’s
National Examination Program as well as a discussion of current topics
of particular interest for the Division of Investment Management and the
Enforcement Division’s Asset Management Unit. The seminars also
will feature the following panels on current ‘hot-button’ topics in
investment management regulation:
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Miami – June 10: Key examination program initiatives,
registrant responsibilities for broker-dealers that migrate to the
investment adviser business model, staff examinations and observations
regarding cybersecurity, and examination and compliance issues that may
result in enforcement referrals. Register for this event here.
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New York – June 18: Staff examinations and
observations regarding cybersecurity and those relevant to advisers to
private funds, such as fees and expenses. Register for this event here.
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New York – June 18: Staff examinations and
observations regarding cybersecurity, issues applicable to dual
registrants or advisers with affiliated broker-dealers, the National
Examination Program’s retirement initiative, and investment company
issues. Register for this event here.
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Chicago – June 29: Key examination program
initiatives, examination selection process, and issues affecting
alternative funds and private funds. Immediately following the
seminar, the staff will host a forum for smaller investment advisers. Register for this event here.
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Denver – July 14: Staff examinations and observations
regarding custody issues and those relevant to advisers to private
funds. Immediately following the seminar, the staff will host a
forum for smaller investment advisers. Register for this event here.
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Philadelphia – July 14: Key examination program
initiatives, examination selection process, and issues relevant to
private fund advisers including fees and expenses, disclosures,
valuation, custody, and conflicts of interest. Register for this event here.
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Los Angeles – September 11: Discussion of the
National Examination Program’s retirement initiative. This seminar
will also have two concurrent breakout sessions, one for issues
applicable to dual registrants or advisers with affiliated
broker-dealers and one for staff examinations and observations relevant
to advisers to private funds. Register for this event here.
Registration for each of these events will be closed approximately one
week before the date of the event. Seating is limited and the
events will not be webcast. If registrations exceed capacity at an
event location, investment company and investment adviser CCOs will be
given priority on a first-come, first-registered basis. For more
information contact: ComplianceOutreach@sec.gov