The SEC’s Atlanta Regional Office and the Division of Examinations will be hosting a compliance outreach event to discuss compliance for registered investment advisers. The meeting will take place on Wednesday, June 14, 2023, from 2:00 p.m. to 3:15 p.m. ET. {expires: 2023-06-15}
The webinar will feature discussions and activities related to compliance matters for registered investment advisers, including the following:
- building and maintaining a robust compliance program
- new marketing rules, cybersecurity issues, and private funds
- common examination findings
- Q&A session focusing on the unique issues that chief compliance officers face
The event is free and open for the public to attend. For more details on the event, including instruction on how to join the webinar, view the event’s informational flyer on sec.gov.
Sources:
Compliance Matters (sec.gov)
Compliance Matters Flyer (sec.gov)
