Thursday, December 8, 2011

SEC Announces National Seminar for Compliance Officers and Senior Personnel at Investment Management Firms

The SEC announced the opening of registration for its national seminar to help chief compliance officers and other senior personnel at investment management firms enhance their compliance programs for the protection of investors. The event will be held on Jan. 31, 2012, at the SEC’s Washington D.C. headquarters, and will include panel discussions to analyze compliance and other significant issues being faced by investment advisers and registered investment companies.

SEC Announces National Seminar for Compliance Officers and Senior Personnel at Investment Management Firms
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