SEC Announces Virtual National Compliance Outreach Seminar

The Securities and Exchange Commission (SEC) announced it plans to host a virtual national compliance seminar for investment companies and investment advisers on November 7. The program, part of the SEC’s Compliance Outreach Program, 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.” Topics for discussion include: Registered investment company topics; Registered investment adviser topics; Information security and operational resiliency; and a “lightning round” of hot topics including crypto developments and artificial intelligence. The program is sponsored by the SEC’s Divisions of Examinations, Investment Management, and Enforcement.

Click here to find more information and register for the November 7 session.