Quantcast
The MFWire
Manage Email Alerts | Sponsorships | About MFWire | Who We Are

Subscribe to MFWire.com's News Alerts [click]

Rating:SEC Offers Regional Seminars for Chief Compliance Officers Not Rated 0.0 Email Routing List Email & Route  Print Print
Monday, May 15, 2006

SEC Offers Regional Seminars for Chief Compliance Officers

by: Neil Anderson, Managing Editor

In an extension of its CCOutreach program, the SEC announced Monday that it will sponsor regional seminars for chief compliance officers (CCOs) this spring and summer.

“An important part of any firm’s compliance program is the identification of risks and conflicts present at the firm. We look forward to encouraging CCOs to explore ways to identify and mitigate these risks,” said Lori Richards, Director of the Office of Compliance Inspections and Examinations, in an SEC statement.

The seminars, designed for mutual fund and investment adviser CCOs, will be run by the examination staff in the SEC’s field offices. “CCOs will gain insight from the experiences of over 50 examiners as they guide discussions regarding firm operational and compliance risk,” Richards said. The seminars will revolve a case study involving compliance issues.

Richards expressed enthusiasm for the new seminars. “We look forward to encouraging CCOs to explore ways to identify and mitigate these risks. This year’s regional seminars will enhance the lines of communication with CCOs that developed through last year’s program.”

Attendance at the seminars is limited, and priority will be given on a first come, first served basis. Information regarding the dates, locations, and agenda of the seminars is available on the SEC’s website.

The CCOutreach program was created last year, according to the SEC, “to support the important work that chief compliance officers perform on behalf of mutual fund investors and advisory clients.” 

Stay ahead of the news ... Sign up for our email alerts now
CLICK HERE

0.0
 Do You Recommend This Story?



GO TO: MFWire
Return to Top
 News Archives
2024: Q2Q1
2023: Q4Q3Q2Q1
2022: Q4Q3Q2Q1
2021: Q4Q3Q2Q1
2020: Q4Q3Q2Q1
2019: Q4Q3Q2Q1
2018: Q4Q3Q2Q1
2017: Q4Q3Q2Q1
2016: Q4Q3Q2Q1
2015: Q4Q3Q2Q1
2014: Q4Q3Q2Q1
2013: Q4Q3Q2Q1
2012: Q4Q3Q2Q1
2011: Q4Q3Q2Q1
2010: Q4Q3Q2Q1
2009: Q4Q3Q2Q1
2008: Q4Q3Q2Q1
2007: Q4Q3Q2Q1
2006: Q4Q3Q2Q1
2005: Q4Q3Q2Q1
2004: Q4Q3Q2Q1
2003: Q4Q3Q2Q1
2002: Q4Q3Q2Q1
 Subscribe via RSS:
Raw XML
Add to My Yahoo!
follow us in feedly




©All rights reserved to InvestmentWires, Inc. 1997-2024
14 Wall Street | 20th Floor | New York, NY 10005 | P: 212-331-8968 | F: 212-331-8998
Privacy Policy :: Terms of Use