SEC เตรียมจัดสัมมนาออนไลน์ด้านคอมพลายแอนซ์ 19 พ.ย. 2026

• งานจัดโดย SEC Compliance Outreach Program
• กำหนดจัด 19 พ.ย. 2026
• ไม่มีการลงทะเบียนล่วงหน้า
• ลิงก์ถ่ายทอดสดจะเผยแพร่เช้าวันจัดงานบน SEC.gov

Action

The Securities and Exchange Commission’s Compliance Outreach Program said it will host a virtual national seminar on November 19, 2026.

SEC เตรียมจัดสัมมนาออนไลน์ด้านคอมพลายแอนซ์ 19 พ.ย. 2026

The event is for investment companies and investment advisers. The SEC said it is meant to help chief compliance officers and senior personnel strengthen compliance programs to protect investors.

Respondents

The seminar is aimed at chief compliance officers and senior personnel at investment advisory firms and investment companies.

The SEC said its Divisions of Examinations and Investment Management, and the Asset Management Unit of the Division of Enforcement, jointly sponsor the compliance outreach program.

Effective

The seminar is scheduled for November 19, 2026.

Advance registration is not required. The SEC said a link to the live webcast will be available the morning of November 19 on SEC.gov.

Penalty

No penalty was announced.

Agenda

• Information security and operational resiliency
• Registered investment adviser topics
• Private fund adviser topics
• Registered investment company topics
• Effectiveness of compliance programs
• Briefings on current issues