SEC Announces Compliance Outreach Program Regional Seminars

The SEC announced the schedule for its upcoming Compliance Outreach Program regional seminars in several cities around the country for investment adviser and investment company senior officers, including chief compliance officers.

The seminars highlight areas of focus for compliance professionals and provide an opportunity for the SEC staff to identify common issues found in related examinations or investigations. The series of regional seminars began in Boston on May 16. The remaining 2013 seminar schedule is as follows:

• Chicago - August 28: Overview of the examination process, including how registrants are selected for examination and the most commonly identified deficiencies.
• New York - September 13: Most relevant to newly registered investment advisers, to dual registrants and to investment advisers affiliated broker-dealers.
• Atlanta - September 25: Discussion of the importance of enterprise risk management and effective compliance which will also identify key issues noted during examinations.
• San Francisco - November 6: Overview of the SEC's examination processes and procedures and a discussion of OCIE and AMU priorities.

See: SEC Press Release.