2024 Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers

The seminars are jointly sponsored by the SEC's Division of 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.

Most regional seminars will include an overview of the Division of Examinations 2024 Priorities and other topics of interest selected by the individual Regional Office sponsoring the event. The 2024 Regional Seminars will be virtual (webcast) or in-person. Invitations to attend the events will be sent to region-specific registrants via an SEC email account (e.g., ComplianceOutreach@sec.gov). The current 2024 Regional Seminar schedule is as follows:

• Philadelphia (May 21, 2024) (9 a.m. to 4 p.m. EST)
  This event is sponsored by the SEC’s Division of Examinations (“EXAMS”) Philadelphia Regional Office. The event will provide an opportunity for SEC staff to share information about Investment Management and Broker-Dealer risks, priorities, and deficiencies observed in examinations and to discuss how senior executives and compliance professionals have addressed such matters. The seminars will include an overview of the SEC’s FY2024 Examination Priorities as well as a discussion of current topics of particular interest for EXAMS. The seminar also will feature panels on current “hot-button” topics in investment management and broker-dealer regulation, including the recently implemented marketing rule for investment advisers and Reg BI/AML for broker-dealers. This event will be virtual only and will not be recorded for future viewing.
  • Agenda
  • Bios
  • Common Examinations Finding Panel – Supporting Information

• Chicago, IL (1p.m. to 2p.m. CT) (February 7^th): The SEC’s Division of Examinations (“EXAMS”) Chicago Regional Office will host a virtual event that will include an update from EXAMS staff members on items of interest to the registrant community.  For this event, the staff will be covering the 2024 National Examination Priorities (https://www.sec.gov/files/2024-exam-priorities.pdf) along with Local Examination Priorities.