Compliance



The SEC staff announced the dates and locations for its 2007 regional CCOutreach seminars for chief compliance officers of mutual funds and investment advisers. At the seminars, SEC examiners will discuss their risk identification and assessment process and how chief compliance officers (CCOs) can establish and maintain strong compliance programs. The four-hour seminars also will address the information and documents requested during SEC exams, various analyses and forensic tests that may be performed using this information, frequent exam findings and factors to consider when establishing compliance controls. For additional information, visit www.sec.gov/info/ccoutreach.htm or e-mail CCOutreach@sec.gov .

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VIDEO

Will the Affordable Care Act be repealed?

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COLUMN

Deflecting clients’ requests for defense and indemnity

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