The Securities and Exchange Commission is now accepting registration to its third annual CCOutreach national seminar to guide chief compliance officers, taking place at its headquarters on Nov. 14 from 9 a.m. to 5 p.m..
The meeting will give CCOs the opportunity to meet personally with SEC staff to ask about the critical compliance functions they oversee.
“This year’s national seminar will examine such important areas as how firm compliance and operations work together, and special issues related to fixed income and derivative products,” said Lori Richards, director of the office of compliance inspections and examinations. Other topics to be discussed include SEC exams.
The SEC’s division of investment management and the office of compliance inspections and examinations jointly sponsor the seminars.
Registration materials are available at: http://www.sec.gov/info/ccoutreach.htm. The seminar also will be webcast.