The Securities and Exchange Commission has begun registration for its compliance outreach program’s national seminar for investment companies and investment advisers.
The event, which is intended to help chief compliance officers (CCOs) and other senior personnel at investment companies and investment advisory firms enhance their compliance programs for the protection of investors, will be held on April 21 at the SEC’s Washington, D.C., headquarters from 8:30 a.m. to 5:30 p.m., according to a release by the SEC.
The SEC said in-person attendance is limited to 500; a live webcast will be available at SEC.gov.
The event is sponsored by the SEC’s Office of Compliance Inspections and Examinations (OCIE), the Division of Investment Management (IM) and the Asset Management Unit (AMU) of the Division of Enforcement.
Speakers will include SEC Chairman Jay Clayton, senior leadership from the OCIE, IM and AMU and industry representatives. The program will cover topics such as program priorities in 2020, investment adviser standard of conduct and related disclosures, issues regarding conflicts of interest, certain regulatory hot topics, and topics specific to investment companies and investment advisers to private funds, the SEC said.
“The program has proven to be a powerful tool in providing critical information to the compliance community, particularly areas we view as higher risk and of importance to our mission of protecting investors,” OCIA Director Pete Driscoll said in a statement.
Investment adviser and investment company senior officers may register online to attend the event. If registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first-registered basis, the SEC said.