The SEC announced the schedule for its upcoming
Compliance Outreach Program regional seminars in several cities around the
country for investment adviser and investment company senior officers,
including chief compliance officers (CCOs).
The SEC's Office of Compliance Inspections and Examinations
(OCIE), Division of Investment Management, and Division of Enforcement's Asset
Management Unit are jointly sponsoring the regional seminars for investment
companies and investment advisers. The seminars highlight areas of focus for
compliance professionals. They provide an opportunity for the SEC staff to
identify common issues found in related examinations or investigations and
discuss industry practices, including how compliance professionals have
addressed such matters.
The Compliance Outreach Program was created to promote open
communication on mutual fund, investment adviser, and broker-dealer compliance
issues. The program, formerly known as the CCOutreach Program, was redesigned
in 2011 to include all senior officers, not just CCOs, underscoring the
importance of compliance throughout a firm's business operations.
For more information on the Outreach Program, visit SEC Announces Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers.
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The attorneys at Sallah Astarita & Cox, LLC have decades of experience in compliance, regulatory audits and investigations. We represent firms and brokers nationwide. For more information contact Mark Astarita at 212-509-6544 or at mja@sallahlaw.com
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The attorneys at Sallah Astarita & Cox, LLC have decades of experience in compliance, regulatory audits and investigations. We represent firms and brokers nationwide. For more information contact Mark Astarita at 212-509-6544 or at mja@sallahlaw.com
