SEC Announces Compliance Outreach Seminars

The 2015 regional seminars will also include an overview of the SEC’s National Examination Program as well as a discussion of current topics of particular interest for the investment and asset management units.

In addition, the seminars will feature the following panels on hot-button topics in investment management regulation, such as cybersecurity, retirement planning and dual registrants:

• Miami – June 10: Key examination program initiatives, registrant responsibilities for broker-dealers that migrate to the investment advisor business model, staff examinations and observations regarding cybersecurity, and examination and compliance issues that may result in enforcement referrals.
• New York – June 18: Staff examinations and observations regarding cybersecurity and those relevant to advisors to private funds, such as fees and expenses. 

• New York – June 18: Staff examinations and observations regarding cybersecurity, issues applicable to dual registrants or advisors with affiliated broker-dealers, the National Examination Program’s retirement initiative, and investment company issues. 

• Chicago – June 29: Key examination program initiatives, examination selection process, and issues affecting alternative funds and private funds. Immediately following the seminar, the staff will host a forum for smaller investment advisors. 
• Denver – July 14: Staff examinations and observations regarding custody issues and those relevant to advisors to private funds.  Immediately following the seminar, the staff will host a forum for smaller investment advisors.
• Philadelphia – July 14: Key examination program initiatives, examination selection process, and issues relevant to private fund advisors including fees and expenses, disclosures, valuation, custody and conflicts of interest.
• Los Angeles – Sept. 11: Discussion of the National Examination Program’s retirement initiative. This seminar will also have two concurrent breakout sessions, one for issues applicable to dual registrants or advisers with affiliated broker-dealers and one for staff examinations and observations relevant to advisers to private funds.

Registration for each event will be closed approximately one week before the date of the event. For more information contact [email protected].

— Check out SEC Proposes Executive Comp Disclosure Rules on ThinkAdvisor.