Regulatory News
SEC to Host Virtual Compliance Seminar for Advisers, Funds
The SEC’s Compliance Outreach Program will host a virtual national seminar for investment companies and investment advisers on Nov. 19, 2026.
- Advance registration is not required.
- A webcast link will be posted the morning of Nov. 19 on SEC.gov.
- Panels will cover information security, registered adviser and fund topics, compliance programs and current issues.
Action
The Securities and Exchange Commission’s Compliance Outreach Program said it will host a virtual national seminar for investment companies and investment advisers on Nov. 19, 2026.
The event is aimed at chief compliance officers and senior personnel at investment advisory firms and investment companies. The stated purpose is to help them enhance compliance programs to protect investors.
Respondents
The seminar is for investment companies and investment advisers.
The conference will include 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 current issues.
Effective
The seminar is scheduled for Nov. 19, 2026. The SEC said a live webcast link will be available the morning of Nov. 19 on SEC.gov.
Advance registration is not required.
Penalty
No penalty was announced.
Source: U.S. SEC,