The Securities and Exchange Commission is holding a National Compliance Outreach Program that’s to serve as a forum for discussing effective compliance practices for broker-dealers.
To be held at SEC headquarters at 100 F Street NE in Washington D.C on April 9, the free event is sponsored by the SEC's Office of Compliance Inspections and Examinations in coordination with the SEC's Division of Trading and Markets and the Financial Industry Regulatory Authority.
The one-day forum will focus on topics of interest to compliance, risk and audit officers of large broker-dealers with multiple and complex business lines.
“To be effective, compliance and ethics programs cannot exist in silos,” Carlo di Florio, director of the SEC's National Examination Program, said in a statement. “They need to be ingrained in the DNA of the organization and the decision-making framework of the organization.”
Registration for in-person attendance is limited to 500 people on a first-come, first-serve basis. There will be a maximum of 10 attendees per firm. The event also will be streamed on the SEC Web site.
To register, visit www.sec.gov/info/complianceoutreach-bd.htm.