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SEC Exam Staff to Hold Regional CCO Seminars

The Securities and Exchange Commission's examination staff will hold regional seminars this spring and summer for chief compliance officers. The sessions are part of the Commission's ongoing "CCOutreach" program. Each seminar will focus on a case study that illustrates compliance issues that arise at firms of various sizes and complexity. Participants will be taught how to create an inventory of risk and mitigate it through policies and procedures. "In this year's regional seminars, fund and advisor CCOs will gain insight from the experiences of over 50 examiners as they guide discussions regarding firm operational and compliance risks," said Lori Richards, director of the office of compliance inspections and examinations. "An important part of any firm's compliance program is the identification of risks and conflicts.

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