SEC to Hold Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers

The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on Nov. 7, 2024. This seminar is intended to help Chief Compliance Officers and other senior personnel at investment companies and investment advisory firms enhance their compliance programs for the protection of investors.

The conference will include panel discussions on:

• Information security and operational resiliency;
• Registered investment company topics
• Private fund adviser topics
• Marketing rule
• Registered investment adviser topics
• Hot topics lightning round

The full agenda is available here. Questions for the panel may be submitted in advance and during the event using the links provided in the agenda.

Advance registration is not required. A link to the live webcast will be made available the morning of Nov. 7 on SEC.gov.

The SEC's Divisions of Examinations and Investment Management , and the Asset Management Unit of the Division of Enforcement, jointly sponsor the compliance outreach program. The program promotes open communications and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues.

Please visit the SEC's compliance page for additional compliance-related resources.