Press Release: SEC Chairman Announces Opening of Registration for 'CCOutreach' National Seminar for 2006; 2006-170; Oct. 4, 2006
The SEC announced the 2006 CCOutreach National Seminar for mutual fund and investment adviser Chief Compliance Officers as a collaborative compliance education event, with no fraud, charges, or financial penalties involved.
The SEC, under Chairman Christopher Cox, issued a press release announcing the 2006 CCOutreach National Seminar for Chief Compliance Officers (CCOs) of mutual funds and investment advisers. The event, held on November 14, 2006, at SEC headquarters in Washington, D.C., was designed to foster two-way communication and address real-world compliance challenges through panel discussions with SEC staff. No fraud, misconduct, financial penalties, or legal charges were associated with the seminar, which was free, limited to 500 attendees, and webcast live.
The SEC announced the 2006 CCOutreach National Seminar as a voluntary, collaborative forum for mutual fund and investment adviser Chief Compliance Officers (CCOs) to engage with the Commission on compliance issues. Hosted by Chairman Christopher Cox on November 14, 2006, at the SEC’s Washington, D.C. headquarters, the event featured panel discussions with SEC staff focused on real-world compliance challenges raised in prior regional seminars. Attendance was limited to 500 CCOs on a first-come, first-served basis, with priority given to compliance officers, and the seminar was also webcast live via sec.gov. The SEC emphasized that the program was designed to improve communication and mutual understanding, not to enforce penalties or investigate misconduct. No individuals, firms, or entities were accused of fraud, wrongdoing, or regulatory violations in connection with this event. There were no financial penalties, settlements, or legal charges associated with the seminar. The initiative was part of a broader effort to build a positive, proactive compliance culture between regulators and industry professionals. Registration and agenda details were publicly available through the SEC’s Division of Investment Management.
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- Securities and Exchange Commission Chairman Christopher Cox Announces Opening Registration for 'CCOutreach' National Seminar for mutual fund and investment adviser Chief Compliance Officers
- The National Seminar Aims To Enhance Compliance by improving communication and coordination with CCOs
- The National Seminar Will Be Held This year on Nov. 14, 2006, at the Commission's Washington, D.C., headquarters
- The CCOutreach National Seminar Includes Panel Discussions With SEC staff and CCO representatives on the latest compliance developments relevant to CCOs
- The National Seminar Follows A Series Of regional seminars held by Commission examination staff
- The National Seminar Will Address Questions and issues raised at those programs
- Chairman Cox Said The CCOutreach Program has become an exceptionally popular way for the nation's mutual funds and investment advisers to work with the SEC on compliance in a positive, collaborative environment
- The two-way communication Focuses On Real-world problems that compliance officers are facing
- The two-way communication Has Proven Invaluable in helping the SEC understand their needs and concerns
- The National Seminar Is A Key Component Of the CCOutreach program
- The National Seminar Will Be Held From 9:00 a.m. until 5:00 p.m., Nov. 14, 2006, at the Commission's headquarters, 100 F Street, N.E., Washington, D.C. 20549
- Attendance Is Limited To 500, with CCOs given priority on a first-come, first-served basis
- The Seminar Will Also Be Webcast At www.sec.gov
SEC Chairman Announces Opening of Registration for 'CCOutreach' National Seminar for 2006 FOR IMMEDIATE RELEASE 2006-170 Washington, D.C., Oct. 4, 2006 - Securities and Exchange Commission Chairman Christopher Cox announced the opening of registration for the annual CCOutreach National Seminar for mutual fund and investment adviser Chief Compliance Officers. The National Seminar, which aims to enhance compliance by improving communication and coordination with CCOs, will be held this year on Nov. 14, 2006, at the Commission's Washington, D.C., headquarters. As in the inaugural program in 2005, the CCOutreach National Seminar will include panel discussions with SEC staff and CCO representatives on the latest compliance developments relevant to CCOs. The National Seminar follows a series of regional seminars held by Commission examination staff and will address questions and issues raised at those programs. "The CCOutreach Program has become an exceptionally popular way for the nation's mutual funds and investment advisers to work with the SEC on compliance in a positive, collaborative environment," Chairman Cox said. "The two-way communication focuses on real-world problems that compliance officers are facing, and it has proven invaluable in helping the SEC understand their needs and concerns. The upcoming National Seminar is a key component of the CCOutreach program, and we look forward to once again getting together with CCOs at this year's event." The National Seminar will be held from 9:00 a.m. until 5:00 p.m., Nov. 14, 2006, at the Commission's headquarters, 100 F Street, N.E., Washington, D.C. 20549. Attendance is limited to 500, with CCOs given priority on a first-come, first-served basis. The Seminar will also be webcast at www.sec.gov. For the agenda and registration information for the CCOutreach National Seminar, go to http://www.sec.gov/info/ccoutreach.htm. Please contact the SEC's Division of Investment Management at (202) 551-6733 with any additional questions. # # # http://www.sec.gov/news/press/2006-170.htm Home | Previous Page Modified: 10/4/2006
SEC Chairman Announces Opening of Registration for 'CCOutreach' National Seminar for 2006 FOR IMMEDIATE RELEASE 2006-170 Washington, D.C., Oct. 4, 2006 - Securities and Exchange Commission Chairman Christopher Cox announced the opening of registration for the annual CCOutreach National Seminar for mutual fund and investment adviser Chief Compliance Officers. The National Seminar, which aims to enhance compliance by improving communication and coordination with CCOs, will be held this year on Nov. 14, 2006, at the Commission's Washington, D.C., headquarters. As in the inaugural program in 2005, the CCOutreach National Seminar will include panel discussions with SEC staff and CCO representatives on the latest compliance developments relevant to CCOs. The National Seminar follows a series of regional seminars held by Commission examination staff and will address questions and issues raised at those programs. "The CCOutreach Program has become an exceptionally popular way for the nation's mutual funds and investment advisers to work with the SEC on compliance in a positive, collaborative environment," Chairman Cox said. "The two-way communication focuses on real-world problems that compliance officers are facing, and it has proven invaluable in helping the SEC understand their needs and concerns. The upcoming National Seminar is a key component of the CCOutreach program, and we look forward to once again getting together with CCOs at this year's event." The National Seminar will be held from 9:00 a.m. until 5:00 p.m., Nov. 14, 2006, at the Commission's headquarters, 100 F Street, N.E., Washington, D.C. 20549. Attendance is limited to 500, with CCOs given priority on a first-come, first-served basis. The Seminar will also be webcast at www.sec.gov. For the agenda and registration information for the CCOutreach National Seminar, go to http://www.sec.gov/info/ccoutreach.htm. Please contact the SEC's Division of Investment Management at (202) 551-6733 with any additional questions. # # # http://www.sec.gov/news/press/2006-170.htm Home | Previous Page Modified: 10/4/2006