Eugene Grygo, Chief Content Editor, FTF News
While the Trump whirlwind in Washington is underway, some SEC officials will be going on a roadshow, offering compliance seminars to investment companies and investment advisers across the U.S.
The regulator has just announced that registration is now open for its compliance outreach program seminars, offered in four cities and targeting chief compliance officers (CCOs) and “other senior personnel” that want to improve the compliance programs at their firms.
The outreach program is jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the asset management unit of the Division of Enforcement.
The regionally oriented seminars will offer an overview of OCIE’s 2017 priorities and individual seminars will feature the following panel discussions on hot subjects in investment management regulation:
- Portland, Oregon – May 17, 8:30 a.m. to 12:30 p.m. Key examination program initiatives, examination procedures and selection process, and recent trends and issues in the Enforcement Division’s asset management unit;
- New York – June 7, 12:30 p.m. to 5:00 p.m. Staff examinations and observations, and topics of interest to advisers to private funds;
- Boston, June 13, 8:30 a.m. to 1:00 p.m. Key examination program initiatives, typical examination process, and topics of interest to advisers to private funds;
- And Chicago, June 13, 8:00 a.m. to 4:30 p.m. Key examination program initiatives, examination procedures and selection process, common examination deficiencies, data analytics, and “several hot topic panels generally applicable to both small and large firms.” This seminar will be webcast.
The SEC asks that people register via http://bit.ly/2orMIgd . In addition, registration will close two weeks before the event.
“Seating is limited and only the Chicago seminar will be webcast,” SEC officials say. “If registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first-come, first-registered basis.”
More info about the outreach program is available via ComplianceOutreach@sec.gov
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