SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers

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:

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

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