SEC to Host Webinar for Large Firms on Regulation S-P

The Securities and Exchange Commission today announced it will hold a series of three compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P. The first event, for large firms, is a webinar scheduled for Sept. 25 from 1 p.m. to 2 p.m. ET. The other two events, for transfer agents and small firms, will be announced at a later date. The Regulation S-P compliance outreach events will be tailored for each registrant type and scheduled according to their corresponding compliance deadline published in the Regulation S-P rule amendments. Staff from the Divisions of Examinations, Investment Management, and Trading and Markets will cover the new Regulation S-P compliance obligations, discuss what to expect when interacting with an exam team during an examination, and answer any remaining compliance questions.