Description

The Securities and Exchange Commission today announced the opening of registration for its compliance outreach programs national seminar for investment companies and investment advisers. The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs for the protection of investors.

The SECs Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management (IM), and the Asset Management Unit (AMU) of the Division of Enforcement jointly sponsor the compliance outreach program. The national seminar will be held on April 12 at the SECs Washington, D.C., headquarters from 8:30 a.m. to 5:30 p.m. ET. In-person attendance is limited to 500; a live webcast will be available atwww.sec.gov.

The agenda for the national seminar includes discussion of OCIE, IM, and AMU program priorities in 2018, issues related to fees and expenses, portfolio management trends, regulatory hot topics, cybersecurity, compliance, and rulemaking.

Regularly hosting this seminar is one of the key ways we work to improve compliance in the industry, said OCIE Director Peter Driscoll. The U.S. capital markets are among the most vibrant, fair, and effective in the world in large part because of the important work that compliance professionals do on a daily basis to ensure risks are addressed, securities laws are followed, and investors are protected. This event allows us to share our thoughts and observations with these professionals and to listen to the ideas and concerns they want to share with us.

Chief Compliance Officers and their teams play an important role in protecting American investors, a goal that the SEC staff shares. This outreach event is a valuable opportunity to engage and build relationships with these knowledgeable professionals so that we may benefit from their insights as we consider policies affecting investment companies and investment advisers, said Division of Investment Management Director Dalia Blass.

Investment adviser and investment company senior officers may register online to attend the event in-person. If registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first-registered basis. Registration instructions also will be sent to SEC-registered advisers using the e-mail account on the advisers most recent Form ADV filing. The event will also be made available via live and archived audio webcast. For more information, contact:[email protected].

Comments
Order by: 
Per page:
 
  • There are no comments yet
   Comment Record a video comment
 
 
 
     
Related Feed Entries
The update, now available to most users, comes several months after Facebook was criticized for spamming users' two-factor authentication phone numbers.Source: Wired - Emerging technologies News
Researchers have developed a new technique called FontCode that hides secrets in plain sight.Source: Wired - Emerging technologies News
Critical Cisco bugs, lost grenades, and more of the week's top security news.Source: Wired - Emerging technologies News
On the latest 'Geek's Guide to the Galaxy' podcast, writer Ana Marie Cox discusses Ted Cruz's love of one of the most openly liberal TV shows.Source: Wired - Emerging technologies News
The failures of Securus and LocationSmart to secure location data are the failures of an entire industry.Source: Wired - Emerging technologies News
Rate
0 votes
Info
Michael Blair
Time is your GREATEST asset
13.02.2018 (13.02.2018)
19 Views
0 Subscribers
Recommend