US Securities and Exchange Commission Staff Now Issuing ComplianceAlert Online Newsletters for Chief Compliance Officers of Registered Advisers
July 01, 2007
On June 14, 2007, the staff of the U.S. Securities and Exchange Commission (SEC) published its first ComplianceAlert online newsletter designed to assist chief compliance officers (CCOs) of SEC-registered investment advisers, investment companies, broker-dealers and transfer agents with their compliance functions. The ComplianceAlerts, which will only be available on the SEC's website, are intended to help CCOs learn more about common deficiencies and weaknesses that SEC staff examiners have found during recent examinations of SEC-registered entities and "proactively fine-tune" their compliance programs.
