In the Margins

SEC schedules compliance seminars

March 24, 2017

By Securities and Exchange Commission

The Securities and Exchange Commission has scheduled four compliance outreach program seminars for investment companies and investment advisers. The seminars—to take place in Portland, Ore., New York, Boston, and Chicago in May and June—are intended to help chief compliance officers and others enhance their firms' compliance programs. Read the announcement from the SEC.

 

 

Most Read

10 Things
10 Things...Boards will face in 2023

As mutual fund board members look forward to 2023, which is just around the corner, they are faced with a number of challenges and tasks unique ...