SEC to Hold Virtual National Compliance Seminar

‍What:

The SEC’s Compliance Outreach Program announced they are hosting a virtual national seminar 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.  

The conference will include panel discussions on:

      • Information security and operational resiliency

      • Registered investment company topics

      • Private fund adviser topics

      • Marketing rule

      • Registered investment adviser topics

      • Hot topics lightning round

The full agenda is available here.

When:

November 7th from 8:30am until 5:30pm EST.

Attend:

No advance registration required. The morning of the event, a link to the live webcast will be made available on SEC.gov.

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