On Tuesday, February 13th, the Securities and Exchange Commission (SEC) announced the opening of registration for its 2018 national compliance outreach seminar for investment companies and investment advisers. The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs. The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management (IM), and the Asset Management Unit (AMU) of the Division of Enforcement jointly sponsor the compliance outreach program. The national seminar will be held on April 12th at the SEC’s Washington, D.C., headquarters from 8:30 a.m. to 5:30 p.m. ET. While in-person attendance will be limited to 500 attendees, the event will also be made available via live webcast, and also via an archived audio webcast, at www.sec.gov.
The agenda for the national seminar will include a discussion of OCIE, IM, and AMU program priorities in 2018, issues related to fees and expenses, portfolio management trends, regulatory hot topics, cybersecurity, compliance, and rulemaking.
Investment adviser and investment company senior officers may register online to attend the event in-person. If registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first-registered basis. Registration instructions also will be sent to SEC-registered investment advisers using the e-mail account on the adviser’s most recent Form ADV filing. For more information, prospective attendees can contact the SEC staff at ComplianceOutreach@sec.gov.