- Atlanta, June 9, 2009, 1:00-5:00pm EDT
- Boston, June 16, 2009, 9:00-1:00pm EDT
- Chicago, June 30, 2009, 1:00-5:00pm CDT
- Dallas, May 11, 2009, 1:00-5:00pm CDT
- Denver, June 23, 2009, 9:00-1:00pm MDT
- Los Angeles, June 30 and July 1, 2009, 1:00-4:00pm PDT
- Miami, June 12, 2009, 9:00-1:00pm CDT
- New York, May 27, 2009, 9:00-1:00pm CDT
- Philadelphia, June 10, 2009, 1:00-5:00pm EDT
- San Francisco, June 3, 2009, 1:00-5:00pm PDT
These seminars will feature examination staff from the SEC's regional offices discussing areas of SEC focus and ways CCOs may improve their effectiveness. According to Lori Richards, Director of the SEC's Office of Compliance Inspections and Examinations:
We have crafted this year's agenda around the challenges that compliance professionals may be facing as a result of recent market conditions and events and having limited resources for compliance programs."
Among the focus areas of discussion will be firms' procedures for safeguarding client assets — an area of particular scrutiny for SEC examiners during examinations. The SEC has brought numerous enforcement actions in recent months involving Ponzi schemes and other forms of theft, underscoring the need for advisers to have strong controls to safeguard client assets. We hope the information shared during the regional seminars will help CCOs in their compliance efforts.
The agenda for this series of programs is available at: http://www.sec.gov/info/cco/ccorsagenda2009.htm