As the seminar, to take place Nov. 14 at SEC headquarters in Washington, Commission staff will discuss the latest compliance developments of concern to chief compliance officers.
This is the SEC’s first annual national CCOutreach seminar, coming on the heels of a series of regional seminars the SEC held throughout the country earlier this year.
“The CCOutreach Program has become an exceptionally popular way for the nation’s mutual funds and investment advisors to work with the SEC on compliance in a positive, collaborative environment,” Cox said. “The two-way communication focuses on real-world problems that compliance officers are facing, and it has proven invaluable in helping the SEC understand their needs and concerns.”
While attendance is limited to 500 and will be afforded on a first-come, first-served basis, the seminar will also be webcast.
Registration information can be found at the SEC's website here:
