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

October 4, 2024

On September 20, 2024, the SEC announced that it will host a virtual seminar for investment companies and investment advisers on Nov. 7, 2024. According to the SEC release, the 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.

To view the full release, click here.