On February 25th, the SEC announced it would be opening registration for its compliance outreach program’s national seminar for investment companies and investment advisers. This event is intended to aid chief compliance officers (CCOs) and other senior personnel at investment companies and advisory firms in enhancing their programs to benefit the protection of investors. The compliance outreach program is 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 national seminar will be held on April 21st at the SEC’s headquarters in Washington, DC from 8:30 am to 5:30 pm EST. In-person attendance is limited to 500 participants, but a freely available, live webcast will be available on the SEC’s website. Speakers will include SEC Chairman Jay Clayton, senior leadership from the aforementioned SEC divisions and offices, and industry representatives. Topics will cover program priorities in 2020, investment advisers standard of conduct and related disclosures, issues regarding conflicts of interest, certain regulatory hot topics, and other areas specific to investment companies and investment advisers to private funds.
This conference marks the fifteenth year for the compliance outreach program, as well as the tenth national seminar for investment advisers and investment companies. The program has proven to be a powerful tool in providing information to the compliance community and creates an open exchange of ideas between SEC staff and market participants concerning regulation and compliance challenges and avenues for improvement.
Investment advisers and investment company officials may register online to attend the seminar in person. Registration instructions will also be sent to SEC-registered advisers using the email account on the adviser’s most recent Form ADV filing. Interested advisers and officials may register here. Again, a live webcast will be available on the SEC’s website. The agenda for the seminar, including topics and speakers, is available here. Questions can be directed to ComplianceOutreach@sec.gov.
Sources:
SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers (www.sec.gov)
Compliance Outreach Program National Seminar 2020 (www.sec.gov)
U.S. Securities & Exchange Commission Compliance Outreach Program (www.sec.gov)
