Registration is now open for investment management firms' chief compliance officers and senior personnel who wish to attend the Securities and Exchange Commission's national seminar that focuses on ways to enhance  compliance programs for investor protection.

The event is scheduled to take place Jan. 31 next year at the agency's headquarters in Washington D.C. and will include panel discussions to study compliance and other significant issues faced by investment advisers and registered investment companies. The seminar is part of the Compliance Outreach Program, previously called “CCOutreach” and is sponsored jointly by the SEC's Division of Investment Management and Office of Compliance Inspections and Examinations.

“The ideal timing of this program comes as we collectively try to implement the changes that have occurred to the compliance landscape as a result of the Dodd-Frank Act and other SEC initiatives,” said Eileen Rominger, director of the investment management division at the Commission, in the announcement.

Panel discussion topics include:

·         Compliance and Enterprise Risk Management

·         Trading Practices

·         Dodd-Frank Act Reforms

·         Enforcement-Related Matters

·         Custody

“We look forward to a constructive dialogue with senior personnel of investment management firms as we work together toward ensuring effective regulatory compliance and risk-management practices. This program continues our commitment to promoting industry compliance through outreach conferences, topical Webinars and enhanced guidance,” said Carlo di Florio, director of the Compliance Inspections and Examinations Office.

Registration materials and information are available at the Commission Website. The seminar will also be made available on the Commission's Webcast channel.