Updated Thursday, April 24, 2014 as of 10:10 PM ET
Practice - Regulatory/Compliance
SEC Offers Compliance Seminar to Advisors
Financial Planning
Friday, December 13, 2013
Print
Email
Reprints

Advisory firm executives can learn about compliance directly from SEC on Jan. 30 in a daylong outreach program at the commission’s headquarters in Washington D.C.

The program, set to run from 8:30 a.m. to 5:30 p.m. ET, will be open to offered to 500 attendees. Those unable to attend in person can participate in a live webinar on the SEC's website.
“[W]e look forward to a candid exchange of ideas with participants at our upcoming event,” Andrew Bowden, chief of the SEC’s Office of Compliance Inspections and Examinations, said in a statement announcing the seminar.
COMPLIANCE HELP FOR FIRMS
The program is intended to share information about observed risks in the marketplace and to help firms assess and improve their compliance programs, the SEC says. 
The seminar is slated to cover the role of chief compliance officers, the commission’s priorities for 2014, private fund advisors and registered investment companies. The commission says similar programs have been well-attended in the past.
Jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management and the Asset Management Unit of the Division of Enforcement, the program is open to senior leaders and compliance officers in investment advisory firms as well as senior leaders of other investment companies. 
HOW TO REGISTER
Those interested in attending should fill out the registration request online
If registration exceeds capacity, the SEC says, priority will be given to compliance officers who register early.
Registration instructions also will be sent to SEC-registered advisors using the email account on the advisor’s most recent Form ADV filing. 
“Mutual funds and investment advisors are the pathways through which most Americans access the securities markets,” Norm Champ, director of the commission’s Division of Investment Management, said in the announcement. “It is important that regulators take proactive steps  ... to work with the asset management industry to promote compliance and protect investors.”
Advisors can get more information by emailing ComplianceOutreach@sec.gov.
 
Read more:

Get access to this article and thousands more...

All On Wall Street articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Lists
Honoring the Top Branch Managers of 2013

Current Issue

The April Issue is now online!


TWITTER
FACEBOOK
LINKEDIN
Already a subscriber? Log in here