SEC Compliance Outreach Program to be Held on January 30th

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December 16, 2013

TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 10-13
COMPLIANCE MEMBERS No. 46-13
INVESTMENT ADVISER MEMBERS No. 76-13 RE: SEC COMPLIANCE OUTREACH PROGRAM TO BE HELD ON JANUARY 30th

 

The SEC has announced that it is planning to hold its next Compliance Outreach Program for Chief Compliance Officers (CCOs) and senior compliance personnel of investment companies and investment advisers on Thursday, January 30th from 8:30 a.m. to 5:30 p.m.  While the program will be held at the SEC’s headquarters in Washington, D.C., a live webcast of the program will be available through the SEC’s website (www.SEC.gov).  Persons interested in attending in person should register as soon as possible as attendance is limited to 500, though CCOs will be given registration priority.  You may register through this link: https://www.surveymonkey.com/s/2014ComplianceOutreachNational01302014.

This program is being jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations, the Division of Investment Management, and the Asset Management Unit of the Division of Enforcement.  The agenda for the program is available through this link:  http://www.sec.gov/info/cco/ccons2014agenda.pdf. 

 

Tamara K. Salmon
Senior Associate Counsel