SEC Posts Agenda for Compliance Outreach Program Scheduled for January 30, 2014

January 15, 2014

The SEC posted the following agenda for its next Compliance Outreach Program at its Washington, D.C.’s headquarters on January 30, 2014:

7:30 am  Registration
8:30 am  Welcoming Remarks — Chair Mary Jo White
8:45 am  Introductory Remarks
9:15 am  Panel I: Program Priorities
• Office of Compliance Inspections and Examination
• Division of Investment Management
• Division of Enforcement (Asset Management Unit)
• Joint or Coordinated Initiatives
• Large Firm Engagements

10:15 am  Question & Answer Session (Advisers with $1 Billion or Less in Regulatory AUM)
10:30 am  Break
10:45 am  Panel II: Private Fund Adviser Topics
• Presence Exam Observations
• JOBS Act
• Private Fund Initiatives/Guidance
• Private Equity Issues

12:00 pm  Lunch Break
1:30 pm  Panel III: Registered Investment Company Topics
• 15c Process/Observations
• Alternative Mutual Funds
• Exchange Traded Products
• Distribution in Guise

Click here for information about the program.


Investment Advisers, Investment Companies