Finding A Way.

SEC to Hold Adviser Compliance Seminar Tomorrow

The Securities and Exchange Commission will hold a national seminar to help chief compliance officers (CCOs) and other senior personnel at investment management firms enhance their investment adviser compliance programs.

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.

The SEC’s Compliance Outreach Program was previously 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.

Panel discussion topics at this week’s National Seminar include:

  • Compliance and Enterprise Risk Management
  • Trading Practices
  • Dodd-Frank Act Reforms
  • Enforcement-Related Matters
  • Custody

The Seminar will also be simulcast over the Internet through the SEC’s website at https://www.sec.gov/news/otherwebcasts.shtml. It is not necessary to register for the webcast. In addition, the webcast will be archived so that you can listen to it at a later date, at your convenience.