Press Release: Registration Begins for <i>‘CCOutreach’</i> National Seminar to Help Chief Compliance Officers Succeed in Protecting Investors (Press Release No. 2007-188; September 19, 2007)
summary
No fraud or misconduct is described; the document is a press release announcing the SEC’s voluntary CCOutreach National Seminar to help chief compliance officers enhance investor protection through compliance education.
paragraph
The SEC announced the registration opening for the 2007 CCOutreach National Seminar, a compliance-focused educational event co-sponsored by the Division of Investment Management and the Office of Compliance Inspections and Examinations. The seminar, held on November 14 at SEC headquarters, aimed to improve investor protection by facilitating dialogue between CCOs and SEC staff on emerging compliance issues, including fixed-income products and risk assessment processes. No allegations of fraud, financial penalties, or legal charges are present—this was a proactive, non-enforcement outreach initiative with attendance limited to 500 CCOs.
narrative
The SEC issued a press release on September 19, 2007, announcing the start of registration for the annual CCOutreach National Seminar, designed to support chief compliance officers (CCOs) in strengthening investor protection through education and dialogue. The event, scheduled for November 14 at the SEC’s Washington, D.C. headquarters, was co-sponsored by the Division of Investment Management and the Office of Compliance Inspections and Examinations. It featured panel discussions on compliance trends, fixed-income and derivative products, and regulatory examination processes, with no mention of enforcement actions or misconduct. Attendance was capped at 500 CCOs on a first-come, first-served basis, and the seminar was also webcast for broader access. Chairman Christopher Cox and senior SEC officials emphasized the importance of proactive compliance in a changing market, noting that over 96 million Americans invested in mutual funds. The CCOutreach program, now in its third year, was framed as a collaborative effort to refine regulatory policies and improve industry practices. No individuals, firms, or financial penalties were implicated—this was purely an educational and outreach initiative with no legal or fraudulent elements.
Classified non-corporate(confidence 100%). No EDGAR filing fingerprint (criminal/DOJ-side scheme). detection rule →
Parties
andrew j. donohueccos to interact with sec staff on compliance functionsccoutreach national seminarccoutreach programchristopher coxdirector of sec's division of investment managementdirector of sec's office of compliance inspections and examinationmutual fundsnov. 14 at sec washington, d.c. headquarterssec's division of investment managementSecurities and Exchange Commission
Keywords
national seminarccoutreach nationalcomplianceccoutreachseminarnationalsecchief compliancecompliance officersseminar helphelp chiefofficers succeedinvestment managementccosinvestors
Extracted insights
Entities 11
- person andrew j. donohue
- agency ccos to interact with sec staff on compliance functions
- person ccoutreach national seminar
- person ccoutreach program
- person christopher cox
- agency director of sec's division of investment management
- agency director of sec's office of compliance inspections and examination
- person mutual funds
- agency nov. 14 at sec washington, d.c. headquarters
- agency sec's division of investment management
- agency Securities and Exchange Commission
Triples 12
- SEC announced beginning of registration for CCOutreach National Seminar
- Christopher Cox announced beginning of registration for CCOutreach National Seminar
- CCOutreach National Seminar held Nov. 14 at SEC Washington, D.C. headquarters
- CCOutreach National Seminar enables CCOs to interact with SEC staff on compliance functions
- SEC's Division of Investment Management sponsors CCOutreach program jointly with Office of Compliance Inspections and Examinations
- Lori A. Richards is Director of SEC's Office of Compliance Inspections and Examination
- Andrew J. Donohue is Director of SEC's Division of Investment Management
- 96 million Americans invested in mutual funds
- CCOutreach National Seminar held 9 a.m. to 5 p.m. on Nov. 14 at 100 F Street, N.E., Washington, D.C. 20549
- CCOutreach National Seminar limited to 500 attendees with CCOs given priority
- CCOutreach Program established three years ago
- SEC released press release 2007-188 on Sept. 19, 2007
Extracted body text (3,489c)
Registration Begins for ‘CCOutreach’ National Seminar to Help Chief Compliance Officers Succeed in Protecting Investors FOR IMMEDIATE RELEASE 2007-188 Washington, D.C., Sept. 19, 2007 — Securities and Exchange Commission Chairman Christopher Cox today announced the beginning of registration for the annual CCOutreach National Seminar to help mutual fund and investment adviser chief compliance officers (CCOs) further enhance their compliance programs for the protection of investors. The CCOutreach National Seminar, which will be held Nov. 14 at the Commission’s Washington, D.C., headquarters, enables CCOs to interact directly with SEC staff and discuss the critical compliance functions they perform on a daily basis on behalf of mutual fund investors and advisory clients. The event will include panel discussions on the latest compliance developments relevant to CCOs, and will address questions and issues raised at a recent series of regional seminars held by SEC examination staff. The SEC’s CCOutreach program is sponsored jointly by the agency’s Division of Investment Management and the Office of Compliance Inspections and Examinations. This year’s seminar will facilitate the exchange of ideas in practical terms to address the important compliance issues that CCOs face, and the new challenges that have emerged in investor protection. “The CCOutreach National Seminar continues the SEC’s efforts to keep open the lines of communication and help chief compliance officers succeed on behalf of America’s investors in today’s ever-changing market environment,” said Chairman Cox. “With more than 96 million Americans now invested in mutual funds, effective compliance is crucial to the financial success of families across the country. CCOs hold the keys to that success.” Lori A. Richards, Director of the SEC’s Office of Compliance Inspections and Examination, said, “This year’s National Seminar will examine such important areas as how firm compliance and operations work together, special issues related to fixed-income and derivative products, the CCO’s role in a changing environment, and the examination risk assessment processes. Reviewing the effectiveness of a firm’s compliance programs is a fundamental part of our examinations. We are pleased by the interest of CCOs in the CCOutreach Program and the role it plays in enhancing effectiveness.” Andrew J. Donohue, Director of the SEC’s Division of Investment Management, said, “I am pleased to work with OCIE again in sponsoring the CCOutreach National Seminar. Since its establishment three years ago, the CCOutreach Program has greatly assisted us in developing regulatory policies for the investment management industry. I am certain the National Seminar will provide a day of stimulating and thoughtful conversation on many important policy and compliance topics.” The CCOutreach National Seminar will be held from 9 a.m. to 5 p.m. on Nov. 14 at the Commission’s headquarters at 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 also will be webcast at www.sec.gov. Registration materials and other information for the CCOutreach National Seminar are available at: http://www.sec.gov/info/ccoutreach.htm. The SEC’s Division of Investment Management can answer additional questions, and can be reached at (202) 551-6733. http://www.sec.gov/news/press/2007/2007-188.htm Home | Previous Page Modified: 09/19/2007
OCR text (3,489c · plain-text · 99% conf)
Registration Begins for ‘CCOutreach’ National Seminar to Help Chief Compliance Officers Succeed in Protecting Investors FOR IMMEDIATE RELEASE 2007-188 Washington, D.C., Sept. 19, 2007 — Securities and Exchange Commission Chairman Christopher Cox today announced the beginning of registration for the annual CCOutreach National Seminar to help mutual fund and investment adviser chief compliance officers (CCOs) further enhance their compliance programs for the protection of investors. The CCOutreach National Seminar, which will be held Nov. 14 at the Commission’s Washington, D.C., headquarters, enables CCOs to interact directly with SEC staff and discuss the critical compliance functions they perform on a daily basis on behalf of mutual fund investors and advisory clients. The event will include panel discussions on the latest compliance developments relevant to CCOs, and will address questions and issues raised at a recent series of regional seminars held by SEC examination staff. The SEC’s CCOutreach program is sponsored jointly by the agency’s Division of Investment Management and the Office of Compliance Inspections and Examinations. This year’s seminar will facilitate the exchange of ideas in practical terms to address the important compliance issues that CCOs face, and the new challenges that have emerged in investor protection. “The CCOutreach National Seminar continues the SEC’s efforts to keep open the lines of communication and help chief compliance officers succeed on behalf of America’s investors in today’s ever-changing market environment,” said Chairman Cox. “With more than 96 million Americans now invested in mutual funds, effective compliance is crucial to the financial success of families across the country. CCOs hold the keys to that success.” Lori A. Richards, Director of the SEC’s Office of Compliance Inspections and Examination, said, “This year’s National Seminar will examine such important areas as how firm compliance and operations work together, special issues related to fixed-income and derivative products, the CCO’s role in a changing environment, and the examination risk assessment processes. Reviewing the effectiveness of a firm’s compliance programs is a fundamental part of our examinations. We are pleased by the interest of CCOs in the CCOutreach Program and the role it plays in enhancing effectiveness.” Andrew J. Donohue, Director of the SEC’s Division of Investment Management, said, “I am pleased to work with OCIE again in sponsoring the CCOutreach National Seminar. Since its establishment three years ago, the CCOutreach Program has greatly assisted us in developing regulatory policies for the investment management industry. I am certain the National Seminar will provide a day of stimulating and thoughtful conversation on many important policy and compliance topics.” The CCOutreach National Seminar will be held from 9 a.m. to 5 p.m. on Nov. 14 at the Commission’s headquarters at 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 also will be webcast at www.sec.gov. Registration materials and other information for the CCOutreach National Seminar are available at: http://www.sec.gov/info/ccoutreach.htm. The SEC’s Division of Investment Management can answer additional questions, and can be reached at (202) 551-6733. http://www.sec.gov/news/press/2007/2007-188.htm Home | Previous Page Modified: 09/19/2007