SEC opens registration for compliance seminar

The January seminar includes a panel that will focus specifically on private equity. 

Private fund compliance professionals can now register for a US Securities and Exchange Commission (SEC) compliance seminar scheduled for January 30 at the agency’s headquarters in Washington DC.

For those unable to attend in person, the commission will stream the day’s events on its website

On the seminar agenda is a 10:30am (EST) panel that will discuss private fund advisor topics, including private equity issues specifically.

Other topics on the agenda include the SEC’s priorities in 2014, valuation and the role of the chief compliance officer.

“The compliance outreach program is an important part of the commission’s initiative to share information about observed risks to assist firms in assessing and enhancing their compliance and control programs,” said in a statement head SEC inspector Andrew Bowden.

The January seminar will mark the only time SEC inspectors plan to communicate directly with private fund compliance professionals. The SEC holds one national seminar each year in addition to several regional seminars, alternating between events targeted to broker-dealers and those for investment advisors on a yearly basis. Next year, regional seminars will once again target investment advisors.

Compliance officers and others can register online for the event by clicking HERE