SEC Schedules Compliance Outreach Meeting

SEC Headquarters in DCOn 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.



U.S. Securities & Exchange Commission 
Compliance Outreach Program 
for Investment Advisers and Investment Companies 
Mary Jo White Chairman SECNational Seminar Agenda 
(Discussions For Larger Firms) 
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 2:45 pm Question & Answer Session (Advisers with More Than $1 Billion in Regulatory AUM)
3:00 pm Break
3:15 pm Panel IV: Valuation Issues
  • Basic Legal Framework
  • Valuation Techniques and Practices
  • Difficult-to-Value Investments
  • Role of Persons Other than the Investment Adviser (e.g., Board, Pricing Services)
4:15 pm Panel V: Chief Compliance Officer Obligations
  • SEC Staff Observations
  • CCO Presence, Access, and Empowerment
  • Recent Enforcement Actions
5:25 pm Closing Remarks
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