SEC invites CCOs to compliance seminar

An event next month will feature a panel on exam priorities and special Q&As for large and small advisors.

The US Securities and Exchange Commission (SEC) will host a national seminar for investment advisors and investment companies next month as part of its compliance outreach program.

The event, which will be held on April 19 at the SEC’s Washington, DC, headquarters, is intended to help chief compliance officers and other senior personnel “enhance their compliance programs for the protection of investors,” according to an SEC statement.

The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the Asset Management Unit of the Division of Enforcement are jointly sponsoring the program.

The seminar agenda includes a panel on OCIE’s 2016 exam priorities and a panel catered to private fund advisors, in which SEC officials and industry experts will discuss conflicts of interest, enforcement cases and examination findings. There will also be Q&A sessions for advisors based on assets under management (AUM), one for those with less than $1 billion in AUM and one for those with more than $1 billion in AUM.

“We look forward to the participants discussing ideas that will be beneficial for both senior officers and their firms,” said OCIE director Marc Wyatt. “Attendees will learn what other firms are doing to comply with certain regulations and the SEC staff’s perspective regarding interpreting, examining, and enforcing these regulations.”

Senior compliance officers can register online for the event here. In-person attendance is limited to 500, but a live webcast will be available at