October 27, 2020
Reminder: Upcoming SEC Compliance Outreach Seminar
WHAT HAPPENED?
On Thursday, Nov. 19, 2020, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission is hosting the Compliance Outreach Program National Seminar from 12:00-5:00 pm ET.
The seminar will focus on providing resources to Chief Compliance Officers and other senior members of registered investment advisers and investment companies. The agenda for the event includes topics on information security, registered fund issues, conflicts of interest disclosure, and trending compliance concerns.
WHAT DOES THIS MEAN FOR ME?
The event does not require preregistration and can be accessed on the SEC’s website on Nov. 16. Questions can be submitted to the panelists prior to the event by emailing complianceoutreach@sec.gov.
