SEC Announces National Seminar for IA Compliance Outreach Program on January 30, 2014

The beginning of the year 2014 is upon us, and the Securities and Exchange Commission (“SEC”) has announced the date and open registration for the agency’s Compliance Outreach Program (“COP”) annual National Seminar in Washington, D.C., to be held on January 30, 2014. Geared towards investment advisers (“IAs”) and investment companies – particularly the Chief Compliance Officer (“CCO”) and senior personnel of investment firms – the National Seminar takes place every fall or winter and aims to promote the COP’s goal of “shar[ing] information about observed risks to assist firms in assessing and enhancing their compliance and control programs.” The event and the Compliance Outreach Program are sponsored by the SEC’s Office of Compliance Inspections and Examinations (“OCIE”), the Division of Investment Management, and the Asset Management Unit of the Division of Enforcement.

To view the agenda for the National Seminar – including panels on 2014 “Program Priorities”, “Valuation Issues” and “CCO Obligations”, as well as Q&A sessions, lunch, and remarks by SEC Chair Mary Jo White – please click here.

Registration for the event opened on December 15th; to register, click here. There is a limit of 500 in-person attendees. Please note the SEC’s warning that “if registrations exceed capacity, investment company and investment adviser CCOs will be given priority on a first registered basis.” For those who are unable to attend, however, the SEC has promised a live streaming webcast to be available on its primary website,

For more information, or for assistance on other compliance topics, please contact us at (619) 278-0020 to schedule a consultation.

GENERAL DISCLAIMER: Information contained within this blog does not create a business-client relationship, and none of the content of this blog can be deemed to be consultive business advice.

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