2023 Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers

April 10, 2023

The seminars are jointly sponsored by the SEC's Division of Examinations, Division of Investment Management, and Division of Enforcement's Asset Management Unit. The events provide an opportunity for SEC staff to share information about risks, priorities, and deficiencies observed in examinations or investigations and to discuss how senior executives and compliance professionals have addressed such matters.

Most regional seminars will include an overview of the Division of Examinations 2023 Priorities and other topics of interest selected by the individual Regional Office sponsoring the event. The 2023 Regional Seminars will be virtual (webcast) or in-person. Invitations to attend the events will be sent to region-specific registrants via an SEC email account (e.g., ComplianceOutreach@sec.gov). The current 2023 Regional Seminar schedule is as follows:

  • Los Angeles, CA and San Francisco, CA (9 a.m. to Noon PT) (April 26, 2023): perspectives from a dynamic panel of women and minority founders and executives of financial advisory firms who will share their experiences, insights, and successes in launching investment and financial firms, and will discuss their challenges and opportunities and how the financial services community and the SEC can work together to increase investing and wealth in underrepresented communities; overview of the examination process, and advice on how to prepare for an investment adviser examination; last panel will address the Marketing Rule, Environmental Social and Governance (ESG), and Off-Channel Communications.
  • Denver, CO (October 24, 2023) (8 a.m. to 12 p.m. MT and 1 p.m. to 5 p.m. MT) and Salt Lake City, UT (October 26, 2023) (1 p.m. to 5 p.m. MT): These seminars are jointly sponsored by the SEC’s Divisions of Examinations (“EXAMS”), Investment Management, and Enforcement’s Asset Management Unit (“AMU”). The event will provide an opportunity for SEC staff to share information about risks, priorities, and deficiencies observed in examinations or investigations and to discuss how senior executives and compliance professionals have addressed such matters. The seminars will include an overview of the SEC’s FY2023 Examination Priorities as well as a discussion of current topics of particular interest for EXAMS, the Investment Management, and AMU. The seminar also will feature panels on current “hot-button” topics in investment management regulation, including the recently implemented marketing rule for investment advisers. This event will be in-person only, will not be broadcast via the internet, and will not be recorded for future viewing. To register for in-person attendance, please complete the registration form available here. Registration will close on October 3, 2023 or when capacity has been reached.

  • New York, NY (Virtual Attendance Only)(9 a.m. – 3:30 p.m. ET)(December 5, 2023): This year’s seminar is sponsored by the SEC’s Division of Examinations, New York Regional Office and will also include updates from staff members in the Division of Enforcement and the Division of Investment Management on items of interest to the registrant community. This compliance outreach event will give attendees the opportunity to hear from SEC staff on a range of topics including, common deficiencies that have been found in recent examinations, updates on Crypto Asset Securities and Exam Priorities. In addition, we will be hosting a panel on “Demystifying the Exam Process” to provide the community with information on what may spur an examination and different forms that an examination may take.

    The seminar will also cover areas such as the new Marketing Rule, a panel on Reg BI and Dual Registrants, and a workshop for newly registered advisers which will include findings from recent examinations of newly registered advisers. Please see below for the full agenda and biographies of panelists.

Last Reviewed or Updated: July 9, 2024