2019 Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers

The seminars are jointly sponsored by the SEC's Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement's Asset Management Unit. The events provide an opportunity for SEC staff to share information about risks, priorities, and deficiencies observed in examinations or investigations and to discuss how senior executives and compliance professionals have addressed such matters.

All regional seminars will include an overview of OCIE’s 2019 priorities and individual seminars will feature the following panel discussions on current topics in investment management regulation:

• Richmond, VA – May 2 (9:00 a.m. to 1:45 p.m.): initiatives and registrant selection; what to expect on an examination and common adviser deficiencies; Enforcement priorities; and cybersecurity. (CPE credits offered)

  This was an in-person seminar; the event was not recorded.

• Pittsburgh, PA – May 16 (9:00 a.m. to 1:45 p.m.): initiatives and registrant selection; what to expect on an examination and common adviser deficiencies; Enforcement priorities; and cybersecurity. (CPE credits offered)

  This was an in-person seminar; the event was not recorded.

• Costa Mesa, CA - May 30 (8:30 a.m. to 1:00 p.m.): initiatives; examination hot topics; and Enforcement update.

  This was an in-person seminar; the event was not recorded.

• New York, NY (Tribeca) – June 6 (9:00 a.m. to 2:30 p.m.): initiatives and examination updates; Enforcement/Asset Management Unit update; Division of Investment Management update; and digital assets and cybersecurity.

  This was an in-person seminar. See:

  • Webcast Archive
  • Agenda
  • Speaker Biographies.
• Denver, CO – June 18 (1:00 p.m. to 5:00 p.m.): initiatives; Division of Enforcement and Division of Investment Management updates and priorities; adviser and fund hot topics; and the examination process.

  This was an in-person seminar; the event was not recorded.

• Chicago, IL – June 25 (8:30 a.m. to 3:30 p.m.): perspectives from the Directors of OCIE and the Divisions of Enforcement and Investment Management; initiatives and registrant selection; initiatives; common deficiencies; protecting retail investors; afternoon breakout panels on RICs, private funds, recent decisions, and preparing for SEC examinations.

  This is an in-person seminar that will also be webcast live for those that cannot attend in person. Requests to attend this event in person are no longer being accepted.

  See:

  • Webcast Archive
  • Agenda
• Philadelphia, PA – July 23 (9:00 a.m. to 1:45 p.m.): initiatives and registrant selection; what to expect on an examination and common adviser deficiencies; Enforcement priorities; and cybersecurity. (CPE credits offered)

  This was an in-person seminar; the event was not recorded.

• Omaha, NE – August 28 (1:00 p.m. to 5:00 p.m.): initiatives; Division of Enforcement and Division of Investment Management updates and priorities; adviser and fund hot topics; and the examination process.

  This was an in-person seminar; the event was not recorded.

Other Regional Office Notices

Atlanta – Newly Registered Adviser Outreach (May 13, 2019; 1:00 p.m. to 4:00 p.m.). The Atlanta Regional Office is hosting an in-person seminar for newly registered investment advisers in their region (Alabama, Georgia, North Carolina, South Carolina, Tennessee) that will cover topics such as compliance, custody, and marketing. Please contact the Atlanta Regional Office at AROOutReach@sec.gov if interested in attending.