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SEC compliance outreach program seminar — Chicago

When Jun 13, 2017
from to
Timezone UTC - 5
Where Chicago, IL
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This is the last of four SEC seminars being held to help chief compliance officers and other senior personnel enhance compliance programs at investment companies and investment advisory firms.

This webcast includes an overview of the SEC’s Office of Compliance Inspections and Examinations's 2017 priorities and will feature panel discussions on: key examination program initiatives, examination procedures and selection process, common examination deficiencies, data analytics, and several hot topic panels generally applicable to both small and large firms. This seminar will be webcast.

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