SEC Announces Compliance Outreach Program Seminars for Investment Adviser and Investment Company Senior Officers

The SEC announced the schedule for the Compliance Outreach Program regional seminars it will be sponsoring in six cities. The seminars will be sponsored jointly by the SEC's Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement's Asset Management Unit. They are intended to provide an opportunity for SEC staff to share information about the risks, priorities and deficiencies observed in examinations and investigations, and to discuss how senior executives and compliance professionals addressed such matters in the past.

The 2015 regional seminars will include an overview of the SEC's National Examination Program as well as a discussion of current topics of particular interest to the Division of Investment Management and the Enforcement Division's Asset Management Unit.

Registration for each of the events will close approximately one week before the date of that event. None of the events will be webcast.

See: SEC Press Release.