On the calendar for January 30, 2014 is the Securities and Exchange Commissions (SEC) Compliance Outreach Program National Seminar 2014. Outside of an expected welcome from Chair Mary Jo White the event will address a wide range of topics on compliance and enforcement issues. With the various aspects of the JOBS Act finally coming to life, crowdfunding will most certainly be part of the discussion.
This meeting will be held at the SEC offices in Washington, DC and is open to the public. Interested parties may email [email protected] for more information.
The current agenda is posted below.
- Office of Compliance Inspections and Examination
- Division of Investment Management
- Division of Enforcement (Asset Management Unit)
- Joint or Coordinated Initiatives
- Large Firm Engagements
- Presence Exam Observations
- JOBS Act
- Private Fund Initiatives/Guidance
- Private Equity Issues
- 15c Process/Observations
- Alternative Mutual Funds
- Exchange Traded Products
- Distribution in Guise 2:45 pm Question & Answer Session (Advisers with More Than $1 Billion in Regulatory AUM)
- Basic Legal Framework
- Valuation Techniques and Practices
- Difficult-to-Value Investments
- Role of Persons Other than the Investment Adviser (e.g., Board, Pricing Services)
- SEC Staff Observations
- CCO Presence, Access, and Empowerment
- Recent Enforcement Actions