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SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Issuer U.S. Securities and Exchange Commission · Published
This text is not the issuer's. It was produced by a language model from the official document, then checked automatically against DFIN's neutrality rules. The title above is carried verbatim.
The U.S. Securities and Exchange Commission announced on Oct. 6, 2026 that its Compliance Outreach Program will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The event aims to help chief compliance officers and senior personnel at investment advisory firms and investment companies enhance their compliance programs to protect investors, through panel discussions on information security and operational resiliency, registered investment adviser topics, private fund adviser topics, registered investment company topics, effectiveness of compliance programs, and briefings on current issues. Advance registration is not required, and a link to the live webcast will be made available the morning of November 19 on SEC.gov. The program is jointly sponsored by the SEC's Divisions of Examinations and Investment Management and the Asset Management Unit of the Division of Enforcement.
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