Recently, the Securities and Exchange Commission (SEC) published its 2017 Investment Advisor Compliance Outreach Programs for Investment Companies and Investment Advisors. Each regional seminar will include an overview of the SEC’s Office of Compliance Inspections and Examinations (OCIE) 2017 exam priorities. The locations and times are as follows:
- Portland, Oregon – May 17 (8:30 a.m. to 12:30 p.m.): Key examination program initiatives, examination procedures and selection process, and recent trends and issues in the Enforcement Division’s Asset Management Unit.
- New York – June 7 (12:30 p.m. to 5:00 p.m.): Staff examinations and observations, and topics of interest to advisers to private funds.
- Boston – June 13 (8:30 a.m. to 1:00 p.m.): Key examination program initiatives, typical examination process, and topics of interest to advisers to private funds.
- Chicago – June 13 (8:00 a.m. to 4:30 p.m.): Key examination program initiatives, examination procedures and selection process, common examination deficiencies, data analytics, and several hot topic panels generally applicable to both small and large firms. This seminar will be webcast.
To register for one of these important seminars, click here!
