SEC Chairman Announces First National 'CCOutreach' Seminar
The SEC announced its first CCOutreach National Seminar for mutual fund and investment adviser Chief Compliance Officers on November 8, 2005, to enhance compliance education and investor protection, with no fraud, charges, or financial penalties involved.
The Securities and Exchange Commission (SEC) hosted its inaugural CCOutreach National Seminar on November 8, 2005, at its Washington, D.C. headquarters to support Chief Compliance Officers (CCOs) of mutual funds and investment advisers. The event aimed to strengthen communication, provide regulatory guidance, and improve compliance practices for the 92 million Americans invested in mutual funds, with no allegations of misconduct or financial penalties. Attendance was limited to 500 CCOs on a first-come, first-served basis, and the seminar was also webcast publicly via SEC.gov.
On September 26, 2005, the SEC announced its first CCOutreach National Seminar, scheduled for November 8, 2005, at its headquarters in Washington, D.C., targeting mutual fund and investment adviser Chief Compliance Officers (CCOs). The initiative was designed to enhance communication, provide regulatory support, and improve compliance standards to protect the 92 million U.S. households invested in mutual funds. Chairman Christopher Cox emphasized that CCOs hold the keys to investor confidence and that the SEC is committed to helping them succeed. The seminar followed regional events focused on the nuts and bolts of SEC examinations and included panel discussions on emerging compliance issues. Attendance was capped at 500 CCOs on a first-come, first-served basis, with priority given to compliance officers. The event was also webcast live on the SEC’s website to ensure broader public access. No fraud, enforcement actions, financial penalties, or accused parties were involved—this was purely an educational and outreach initiative. The SEC published the agenda and registration details online and encouraged inquiries through its Division of Investment Management.
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- Securities and Exchange Commission Chairman Christopher Cox announces first CCOutreach Program National Seminar
- CCOutreach program aims to protect investors by enhancing communication and coordination with CCOs and helping CCOs do their vital jobs
- Chairman Cox says With almost half of all U.S. households now invested in mutual funds, insuring compliance with SEC standards is more important than ever before
- SEC is committed to helping CCOs excel
- National Seminar follows a series of regional seminars held by Commission examination staff
- National Seminar includes panel discussions with SEC staff and CCO representatives on the latest policy developments relevant to CCOs
- SEC will publish the agenda for the seminar
- Seminar will be held from 9 a.m. until 4:45 p.m., Nov. 8, 2005, at the Commission's headquarters, 100 F Street, NE, Washington, D.C. 20549
- Attendance is limited to 500, with CCOs given priority on a first-come, first-served basis
- Seminar will also be webcast at www.sec.gov
SEC CHAIRMAN ANNOUNCES FIRST NATIONAL 'CCOutreach' SEMINAR FOR IMMEDIATE RELEASE 2005-136 Washington, D.C., Sept. 26, 2005 - Securities and Exchange Commission Chairman Christopher Cox announced that the agency's first CCOutreach Program National Seminar for mutual fund and investment adviser Chief Compliance Officers-CCOs-will be Nov. 8, 2005, at the Commission's Washington, D.C., headquarters. The CCOutreach program aims to protect investors by enhancing communication and coordination with CCOs and helping CCOs do their vital jobs. "With almost half of all U.S. households now invested in mutual funds, insuring compliance with SEC standards is more important than ever before," said Chairman Cox. "Robust and effective mutual fund and investment adviser compliance is critical to public confidence. CCOs hold the keys to success for the 92 million Americans who own mutual funds. The SEC is committed to helping CCOs excel." The National Seminar follows a series of regional seminars held by Commission examination staff. The regional seminars focused on the "nuts and bolts" of the examination process and the SEC resources available to help. The National Seminar will include panel discussions with SEC staff and CCO representatives on the latest policy developments relevant to CCOs and will address questions raised at the regional seminars and elsewhere. The SEC will soon publish the agenda for the seminar, which will be held from 9 a.m. until 4:45 p.m., Nov. 8, 2005, at the Commission's headquarters, 100 F Street, NE, 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 information and registration, 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/2005-136.htm Home | Previous Page Modified: 09/26/2005
SEC CHAIRMAN ANNOUNCES FIRST NATIONAL 'CCOutreach' SEMINAR FOR IMMEDIATE RELEASE 2005-136 Washington, D.C., Sept. 26, 2005 - Securities and Exchange Commission Chairman Christopher Cox announced that the agency's first CCOutreach Program National Seminar for mutual fund and investment adviser Chief Compliance Officers-CCOs-will be Nov. 8, 2005, at the Commission's Washington, D.C., headquarters. The CCOutreach program aims to protect investors by enhancing communication and coordination with CCOs and helping CCOs do their vital jobs. "With almost half of all U.S. households now invested in mutual funds, insuring compliance with SEC standards is more important than ever before," said Chairman Cox. "Robust and effective mutual fund and investment adviser compliance is critical to public confidence. CCOs hold the keys to success for the 92 million Americans who own mutual funds. The SEC is committed to helping CCOs excel." The National Seminar follows a series of regional seminars held by Commission examination staff. The regional seminars focused on the "nuts and bolts" of the examination process and the SEC resources available to help. The National Seminar will include panel discussions with SEC staff and CCO representatives on the latest policy developments relevant to CCOs and will address questions raised at the regional seminars and elsewhere. The SEC will soon publish the agenda for the seminar, which will be held from 9 a.m. until 4:45 p.m., Nov. 8, 2005, at the Commission's headquarters, 100 F Street, NE, 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 information and registration, 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/2005-136.htm Home | Previous Page Modified: 09/26/2005