Advisers are reminded the SEC’s annual compliance outreach program National Seminar will be held on January 30, 2014, at its headquarters in Washington, D.C.   Investment adviser and investment company senior officers, including chief compliance officers (CCOs) are invited to register and attend. This year’s agenda will likely include panel discussions with SEC staff from the Office of Compliance … Read more

For next year, the SEC has announced it will be enhancing its CCO Outreach program to include both chief compliance officers and senior personnel of investment advisers and investment companies will.  The program will occur on Jan. 31, 2012, at the SEC’s Washington D.C. headquarters and will also be webcast.  By adding senior personnel, the SEC says the change is aimed at emphasizing the need for compliance awareness … Read more