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SEC Announces National Seminar for Compliance Officers and Senior Personnel at Investment Management Firms

December 8, 2011 - The Securities and Exchange Commission today announced the opening of registration for its national seminar to help chief compliance officers (CCOs) and other senior personnel at investment management firms enhance their compliance programs for the protection of investors.

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 is sponsored jointly by the SEC’s Division of Investment Management and its Office of Compliance Inspections and Examinations.

“As in years past, this event will be mutually beneficial for CCOs and our regulatory program here at the SEC,” said Eileen Rominger, Director of the SEC’s Division of Investment Management. “The ideal timing of this program comes as we collectively try to implement the changes that have occurred to the compliance landscape as a result of the Dodd-Frank Act and other SEC initiatives.”

Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “We look forward to a constructive dialogue with senior personnel of investment management firms as we work together toward ensuring effective regulatory compliance and risk management practices. This program continues our commitment to promoting industry compliance through outreach conferences, topical webinars and enhanced guidance.”

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 year’s National Seminar include:

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

Registration materials and other information about the national seminar are available at: http://www.sec.gov/info/complianceoutreach/complianceoutreachns2012.htm.

The event will take place from 8:30 a.m. to 5:30 p.m. and attendance is limited to 500 people. The seminar will be webcast at /index.php?option=com_content&view=article&id=4013:this-page-is-no-longer-available&catid=415:landing-pages&Itemid=572&url=http%3A%2F%2Fwww.sec.gov%2F.

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