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U.S. SEC to host national online compliance exchange seminar for investment companies and investment advisors

2026.10.07 00:02:29

According to official announcements, the U.S. Securities and Exchange Commission (SEC) Compliance Outreach Program today announced it will host an online national seminar for investment firms and investment advisors on November 19, 2026. The event aims to help chief compliance officers and senior management of investment advisory firms and companies improve their compliance frameworks to better protect investors. The seminar will cover topics including information security and operational resilience, registered investment advisor-related issues, private fund advisor-related issues, registered investment company-related issues, compliance framework effectiveness, and briefings on current hot topics. Pre-registration is not required for attendees. The live stream link will be published on the SEC’s official website on the morning of November 19, and participants may also submit questions to panels in advance or during the event via links in the meeting agenda.

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