The U.S. Securities and Exchange Commission’s Compliance Outreach Program will host a virtual national seminar on November 19, 2026, to help chief compliance officers and senior personnel at investment advisers and investment companies strengthen their compliance programs and investor protections. Panel discussions will cover information security and operational resilience, compliance program effectiveness, current issues and topics affecting registered investment advisers, private fund advisers and registered investment companies. Advance registration is not required, and the live webcast will be available through the SEC’s website.
U.S. Securities and Exchange Commission to host November 19 compliance seminar for investment advisers and companies
The U.S. Securities and Exchange Commission will hold a virtual compliance seminar for investment advisers and investment companies on November 19, 2026. Sessions will address operational resilience, compliance program effectiveness and sector-specific issues, with no advance registration required.