SEC compliance program shares key regulatory issues to be aware of for the year ahead

SEC hosts compliance seminar to ready execs and regulatory officers for upcoming process exams.

As predicted in late 2013, compliance and regulation will continue to be a growing trend this year, not only for the legal industry but also within organizations in nearly every market as the industry moves towards a more compliant landscape.

Just last month, the Securities and Exchange Commission (SEC) hosted a workshop at its headquarters for nearly a thousand chief compliance officers and mutual fund leaders. The seminar identified key compliance issues the Commission recommends preparing for in advance of the examinations most company’s conduct on a regular basis each year. The program crammed roughly four hours of material into the all day event by providing attendees with one-on-one face time with experts in the industry.

Contributing Author

Stefanie Mosca

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