Registration is now open for investment management firms’ chief compliance officers and senior personnel who wish to attend the Securities and Exchange Commission’s national seminar that focuses on ways to enhance compliance programs for investor protection.
The event is scheduled to take place Jan. 31 next year at the agency’s headquarters in Washington D.C. and will include panel discussions to study compliance and other significant issues faced by investment advisers and registered investment companies. The seminar is part of the Compliance Outreach Program, previously called “CCOutreach” and is sponsored jointly by the SEC’s Division of Investment Management and Office of Compliance Inspections and Examinations.
