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SEC compliance outreach program seminar — Portland

When May 17, 2017
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Timezone UTC - 7
Where Portland, OR
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This is the first 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, and recent trends and issues in the Enforcement Division’s Asset Management Unit.

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