The Securities and Exchange Commission will hold compliance outreach program regional seminars in several cities for investment adviser and investment company senior officers, including chief compliance officers, the SEC announced on Tuesday. Staff from the Office of Compliance Inspections and Examinations and the Divisions of Enforcement and of Investment Management will be available to identify common findings in exams and investigations and discuss industry practices, including how compliance professionals have addressed these issues. The program is open to all senior officers, not just CCOs, because of the importance of compliance throughout a firm's business operations, but if registration exceeds capacity at any location, CCOs will be given priority on a first-come, first-registered basis. The series began in Boston on May 16 with discussions on the National Examination Program priorities, current topics in money management regulation, and OCIE's process for assessing risks
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