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SEC Examination Staff to Sponsor Regional Seminars

SEC Examination Staff to Sponsor Regional Seminars

by Rick Turoczy on May 15, 2006

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.

SEC Examination Staff to Sponsor Regional Seminars

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