SEC Announces Regional CCOutreach Seminars

The Securities and Exchange Commission has announced the dates and locations of its regional CCOutreach seminars. Taking place between April and June, they will be held in: Atlanta, Baltimore, Boston, Charlotte, N.C., Chicago, Cleveland, Denver, Hartford, Conn., Los Angeles, Miami, Memphis, Tenn., New York, Portland, Ore., Richmond, Va., San Francisco, Seattle and Wilmington, Del.

Topics to be covered include: the examination and risk assessment process; books, records, disclosures and filings; brokerage arrangements, best execution, trade allocation and soft dollars; portfolio management and performance; and marketing, advertising and distribution.

“We believe that by focusing our CCOutreach regional programs on the key compliance issues that are of most interest to CCOs, we will further our goal of assisting CCOs in developing and enhancing effective fund and advisor compliance programs for the benefit of investors,” said Lori Richards, director of the SEC’s office of compliance inspections and examinations.

Further information is available at the SEC’s website, and registration is now open.