SEC Announces Jan. 31 National CCO Seminar

The Securities and Exchange Commission announced Thursday that it is accepting registrations for its next national seminar for chief compliance officers and other senior investment management executives.

The event is taking place Jan. 31 at SEC headquarters. It is part of the SEC’s Compliance Outreach Program and is jointly sponsored by the SEC’s Division of Investment Management and Office of Compliance Inspections and Examinations.

With a maximum attendance of 500, the program will also be simulcast over the Internet through the SEC’s website, for which no registration is necessary. Additionally, the webcast will be archived and available for review at a later date.

Topics this year include:

• Enterprise risk management
• Trading practices
• Dodd-Frank Act
• Enforcement
• Custody

“As in years past, this even will be mutually beneficial for CCOs and our regulatory program here at the SEC,” said Eileen Rominger, director of the Division of Investment Management. “The ideal timing of this program comes as we collectively try to implement the changes that have occurred to the compliance landscape as a result of the Dodd-Frank Act and other SEC initiatives.”

Carlo di Florio, director of the Office of Compliance Inspections and Examinations, added: “We look forward to a constructive dialogue with senior personnel of investment management firms as we work together toward ensuring effective regulatory compliance and risk management practices.”

The SEC previously called this program “CCOutreach” but has rebranded it as the Compliance Outreach Program to be more inclusive of all senior personnel—and to recognize the need for compliance awareness at all levels of an organization.