According to a September 26 press release, the first CCOutreach Program National Seminar will take place on November 8, 2005. The seminar is open on a first come, first serve basis and all Chief Compliance Officers of mutual funds and investment advisors are welcome to attend. However, the one day event is limited to the first 500 individuals that register with CCOs.
If you are the CCO for your advisor firm, this could be a great opportunity to interact with other CCOs from around the country and get questions answered directly from the SEC staff. In light of the increased emphasis on advisor compliance programs and the increasing mountain of regulations, this program should help bridge the gap between the SEC and the industry.
Posted by Bryan Hill