The U.S. Securities and Exchange Commission (SEC) recently announced that its Compliance Outreach Program National Seminar for investment adviser firms will be held on Thursday, April 12, 2018 in Washington, DC. This SEC event is designed to help chief compliance officer make improvements to his or her investment adviser firm’s compliance program. For an employee of an SEC registered investment adviser firm to attend in person, he or she can register online at https://regandsurvey.sec.gov/NoviSurvey/TakeSurveyPage.aspx?s=be9d4ac36e2c40e19efaef0ce7079d06&tsid=8ff8c4079869425ea960fd3130c3cdff&c=en-US . Additionally, the seminar will be broadcast live via the Internet which can be accessed at sec.gov .
Posted by RCC
Labels: SEC
