SEC compliance oversight, cybersecurity, anti-money laundering and approaches to supervision and sales practices are among the topics of an upcoming event for regulators and industry professionals.
The SEC and FINRA, hosts of the 2015 National Compliance Outreach Program for Broker-Dealers, have begun accepting registrations for the daylong program being held on July 14 in Washington. Admission is free and open to regulators and industry professionals and focuses on a variety of compliance topics. It also highlights priorities set for the SEC's Office of Compliance Inspections and Examinations.
"This program provides an invaluable opportunity to facilitate discussions between regulators and industry participants on important issues affecting the brokerage industry," says Kevin Goodman, national associate director of OCIE's broker-dealer examination program. "Past programs have been well attended and well received, and we look forward to a candid exchange of ideas with participants at our upcoming event."
Broker-dealers can send up to 10 compliance, audit and risk officers. Up to 500 people will be accommodated, on a first-come, first-serve basis, the agencies say.