SEC to Host Compliance Seminar for Investment Companies on November 19, 2026

The U.S. Securities and Exchange Commission (SEC) Compliance Outreach Program has announced that it will hold a national online seminar for investment companies and investment advisers on November 19, 2026. This event aims to assist chief compliance officers and senior management of investment advisory firms and investment companies in enhancing their compliance frameworks to better protect investors. The seminar will cover topics including information security and operational resilience, issues related to registered investment advisers and private fund advisers, matters concerning registered investment companies, the effectiveness of compliance frameworks, and briefings on current hot topics. Participants do not need to register in advance; the live link will be posted on the SEC website on the morning of November 19, and attendees can submit questions to the panel via links in the agenda either in advance or during the event.

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