Like the SECs CCOutreach program for chief compliance officers at mutual fund companies, the CCOutreach DB National Seminar is organized for CCOs, but at broker/dealers. It will focus on compliance risks, controls and programs. Following the national seminar, the SEC and FINRA will hold five regional CCOutreach BD seminars.
The CCOutreach BD program has proven invaluable in helping the SEC understand the needs and concerns of compliance officers, said SEC Chairman Christopher Cox. This national seminar is an outstanding opportunity for broker/dealer CCOs and their regulators to discuss how to strengthen compliance within the securities laws. This two-way communication is focused directly on real-world problems. And its built on the shared conviction that empowering CCOs to implement strong compliance programs within their firms will prevent securities laws violations and better serve investors.