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FREE: SEC Virtual: National Compliance Outreach Seminar for Investment Companies and Investment Advisers

November 19 @ 11:00 am - 3:50 pm CST

The Securities and Exchange Commission announced that it has rescheduled its compliance outreach program’s national seminar for investment companies and investment advisers to Nov. 19, 2020. This program is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms enhance their compliance programs for the protection of investors. The November program will be offered as a live webcast—both speakers and attendees will be participating in the program remotely. All live webcast attendees may view the program real-time, access presentation materials, and submit questions to the speakers during the presentation. Questions for the panels may also be submitted prior to the event to ComplianceOutreach@sec.gov.

The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management (IM), and the Asset Management Unit (AMU) of the Division of Enforcement jointly sponsor the compliance outreach program. Investment advisers and investment company senior officers do not need to register to attend the live webcast, which may be accessed via SEC.gov on the day of the event. The agenda for the seminar is available here. Speakers will include senior representatives from the Commission, OCIE, IM, AMU, and industry. Topics will include: program priorities in 2020, business continuity and information security, issues regarding conflicts of interest, regulatory hot topics, and topics specific to investment companies.

Although registration is not required to attend the virtual seminar, there is a possibility that live access demand may exceed capacity. A recording will be made available on the SEC’s website after the event. For more information, contact: ComplianceOutreach@sec.gov.


November 19
11:00 am - 3:50 pm CST
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