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SEC Press Releases·

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

  • The SEC's Compliance Outreach Program will host a virtual national seminar on November 19, 2026, for investment companies \& advisers.
  • The event aims to help chief compliance officers \& senior personnel enhance compliance programs to protect investors.
  • Panel discussions will cover information security, operational resiliency, registered investment adviser topics, private fund adviser topics, registered investment company topics, program effectiveness, \& current issues.
  • Advance registration is not required; a live webcast link will be available on SEC.gov the morning of November 19.
  • The seminar is jointly sponsored by the SEC's Divisions of Examinations \& Investment Management, along with the Asset Management Unit of the Division of Enforcement.
  • The program promotes open communication \& coordination among securities regulators \& the industry regarding compliance issues.