SEC Examination Staff to Sponsor Regional Seminars


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SEC Examination Staff to Sponsor Regional Seminars

U.S. Securities and Exchange Commission

Securities and Exchange Commission

The Securities and Exchange Commission announced that examination staff from SEC field offices will sponsor regional seminars for mutual fund and investment adviser Chief Compliance Officers at various locations nationwide this spring and summer. The seminars are part of the SEC?s CCOutreach program established last year to support the important work that chief compliance officers perform on behalf of mutual fund investors and advisory clients.

The CCOutreach regional seminars will feature a case study designed to illustrate compliance issues that arise with investment advisers of varying size and complexity. The case study technique will help outline processes that can be used to create a risk inventory and determine effective risk-based policies and procedures.

?In this year?s regional seminars, fund and adviser CCOs will gain insight from the experiences of over 50 examiners as they guide discussions regarding firm operational and compliance risks,? said Lori Richards, Director of the Office of Compliance Inspections and Examinations. ?An important part of any firm?s compliance program is the identification of risks and conflicts present at the firm. We look forward to encouraging CCOs to explore ways to identify and mitigate these risks. This year?s regional seminars will enhance the lines of communication with CCOs that developed through last year?s program.?

Attendance at the regional seminars will be limited, with CCOs given priority on a first come, first served basis. Information regarding the regional seminars, including the dates, locations, and agenda, is available on the SEC?s website at http://www.sec.gov/info/ccoutreach.htm.

For additional information, please send an email to CCOutreach@sec.gov.

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