The Securities and Exchange Commission is planning its next CCOutreach seminar for Nov. 13 at its Washington headquarters.


Topics to be covered include valuation, prevention of insider trading, ensuring best execution and making disclosures that are understandable and meaningful to investors.


“Effective compliance procedures at mutual fund and advisory firms are critical to the protection of nearly 100 million Americans who invest in mutual funds,” said Lori Richards, director of the SEC’s Office of Compliance Inspections and Examinations.


CCOs play an increasingly critical role in helping funds identify and manage risks, added Andrew J. Donohue, director of the Division of Investment Management.

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