The SEC announced that chief compliance officers (“CCOs”) for registered funds and investment advisers can begin registering for the annual CCOutreach National Seminar to be held on November 13, 2008, at the SEC’s Washington, D.C., headquarters. The agenda for the National Seminar at http://www.sec.gov/info/cco/ccons2008agenda.pdf lists panel discussions on (a) compliance challenges from the subprime crisis, including valuation and liquidity, (b) recordkeeping, soft dollars, and trading issues, (c) disclosure issues, including the summary prospectus proposal and proposed changes to Form ADV Part II, and (d) examinations and enforcement actions. Adviser and fund CCOs will be given priority on a first-come, first-served basis. The seminar will be webcast at www.sec.gov.Registration information is available at http://www.sec.gov/info/cco/cconsreg.htm.
Alert September 30, 2008