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.
Category Archives: Uncategorized
Results from SEC’s Inspection of “Free Lunch” Seminars
September 12, 2007
The United States Securities and Exchange Commission (“SEC”), North American Securities Administrators Association (“NASAA”) and Financial Industry Regulatory Authority (“FINRA”) released the findings from their recent joint inspection of “free lunch” seminars targeted at seniors.
Our Recent Release of a “Resources” Webpage
November 21, 2006
We’re excited to announce a new Resources page on our website. Our goal with this page is to provide you with links to some of the more useful websites for today’s Chief Compliance Officer. The page is also a good reference tool for individuals and firms just starting an investment advisor. We also invite you to check our website frequently in the future as we plan to include additional updates and articles concerning the regulatory maze facing today’s investment advisor practitioner and compliance officer.
