SEC Opens Registration for Investment Management Compliance Seminar

On December 8, 2011, the SEC announced that the national compliance seminar for CCOs and senior personnel at investment management firms is open for registration. The Compliance Outreach Program will be held on January 31, 2012 at the SEC’s headquarters in Washington, D.C., and is designed to assist firms with understanding their regulatory compliance and risk management obligations in order to enhance their compliance programs. The seminar will also be provided via webcast on the SEC’s website. The annual seminar sponsored by the Investment Management Division and the Office of Compliance Inspections and Examinations (“OCIE”) was previously referred to as “CCOutreach,” but has been rebranded to emphasize the importance of compliance firm-wide, and to encourage participation by all senior personnel, as opposed to just compliance officers.

The program is often extremely beneficial in providing insight into the SEC’s examination priorities and what the SEC believes to be areas of particular importance with regard to regulatory compliance in the investment management industry. This year’s program comes at a critical time as the SEC continues to implement a variety of significant changes under the Dodd-Frank Act. Panel discussions will include analyses of some of the most important challenges facing the industry, and will cover the following topics: Compliance and Enterprise Risk Management; Trading Practices; Dodd-Frank Act Reforms; Enforcement-Related Matters; and Custody.

General information about this year’s seminar and registration materials are available online. To learn more about the Compliance Outreach Program or previous programs, or for information about any compliance issues, please contact Zac Rosenberg, Compliance Consultant by email at zachary.rosenberg@corecls.com or by phone at (619) 278-0020.