CCOutreach Program for Investment Adviser and Investment Company Chief Compliance Officers
The mission of the CCOutreach program for fund and adviser Chief Compliance Officers ("CCOs") is to improve compliance by opening the lines of communication between CCOs of registered investment advisers and investment companies and SEC staff. It is designed to provide a forum to discuss compliance issues in a practical way, to share experiences, and to learn about effective compliance practices. The program features a number of elements, including regional events at various locations across the country and national events sponsored annually in Washington, DC. The CCOutreach program for investment companies and investment advisers is sponsored by the SEC’s Office of Compliance Inspections and Examinations and Division of Investment Management.
As part of the CCOutreach Program, we established an email address, CCOutreach@sec.gov. Please feel free to contact us or your local office (see office contact information at http://www.sec.gov/about/offices/ocie/ocie_org.htm) with any compliance questions or concerns you have regarding any industry or individual practice. You may request anonymity when speaking with the staff.
http://www.sec.gov/info/iaicccoutreach.htm
