SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers
By EsqSocial Corporation 29/10/20
On October 7th, 2020, the Securities and Exchange Commission (SEC) announced the rescheduled date of its 2020 national compliance outreach seminar for investment companies and investment advisers. This program is intended to help Chief Compliance Officers and other senior personnel at investment companies and investment advisory firms enhance their compliance programs. The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management (IM), and the Asset...
By: Proskauer - The Capital Commitment