The Securities and Exchange Commission today announced the opening of registration for its national seminar to help chief compliance officers (CCOs) and other senior personnel at investment management firms enhance their compliance programs for the protection of investors.
The event will be held January 31 at the SEC's Washington D.C. headquarters, and will include panel discussions to analyze compliance and other significant issues being faced by investment advisors and registered investment companies. The seminar runs from 8:30 a.m. to 5:30 p.m. and attendance is limited to 500 people. The seminar will be webcast at www.sec.gov.
The program is sponsored jointly by the SEC's Division of Investment Management and its Office of Compliance Inspections and Examinations. It previously was called "CCOutreach," but has been rebranded to be more inclusive of all senior personnel at firms and emphasize the need for compliance awareness at all levels of an organization, according to the SEC.
Panel discussion topics at this year's National Seminar include:
Compliance and enterprise risk management
Dodd-Frank act reforms
Registration materials and other information about the national seminar are available at www.sec.gov/info/complianceoutreach/