The Securities and Exchange Commission has announced possible topics for its ongoing CCOutreach seminars across the country next year, among them examinations, risk assessment and brokerage arrangements.
The seminars, to be held in April, May and June, may also cover: best execution, trade allocation, personal securities transactions, pricing and valuation, marketing and advertising, disclosures and filings, books and records, and protection of client assets.
The SEC selected the topics based on feedback from chief compliance officers who attended this year’s seminars.
“We want the CCOutreach program to be as helpful as possible to CCOs by addressing the areas of interest or concern that CCOs feel are important,” said Lori Richards, director of the SEC’s office of compliance inspections and examinations.
The SEC is still accepting suggestions at CCOutreach@sec.gov.