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

The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance officers and senior personnel at investment advisory firms and investment companies enhance their compliance programs to protect investors. 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 Briefings on current issues View the full agenda. To submit questions for the panel, either in advance or during the event, use the links provided in the agenda. Advance registration is not required.