On September 19, 2007, the U.S. Securities & Exchange Commission (SEC) announced it is now taking reservations for the CCOutreach National Seminar which will be held November 14 at the SEC’s national headquarters in Washington, D.C. According to the SEC, the CCOutreach program is intended to help mutual fund and investment adviser Chief Compliance Officers (CCO) further enhance their compliance programs for the protection of investors. Attendance is limited to the first 500 and is open on a first-come, first-serve basis with CCOs given priority. The seminar will last from 9:00 AM to 5:00 PM.
According to the SEC’s press release announcing the National Seminar, the seminar will be webcast at www.sec.gov. Therefore, those not in attendance will still be able to gather valuable insight from the presentation. Registration materials and other information for the CCOutreach National Seminar are available at: http://www.sec.gov/info/ccoutreach.htm, and the SEC’s Division of Investment Management can answer additional questions and can be reached at (202) 551-6733.
RIA Compliance Consultants, Inc. (RCC) supports the SEC’s initiative to keep open the lines of communication between the SEC, mutual funds, and investment advisers. RCC encourages CCOs to take advantage of the CCOutreach program. Even if you cannot attend the seminar in person, every attempt should be made to tune in to the webcast. Hopefully, CCOs will be able to gain insight and knowledge regarding the latest hot topics in SEC examinations. If you would like to find out more about RCC’s experience in assisting clients navigate through SEC examinations, please do not hesitate to contact us today.
Posted by Bryan Hill