The SEC's Divisions of Examinations, Investment Management, and the Asset Management Unit of the Division of Enforcement jointly will host a compliance outreach program to encourage open communications and coordination among securities regulators and the industry concerning mutual fund, investment adviser, and broker-dealer compliance issues. The seminar will take place on Thursday, November 19, 2026, from 8:30 a.m. to 5:30 p.m. Eastern. The event is free, open to the public, and will be streamed on the SEC’s site.
The event will feature the following panel discussions:
- Information Security and Operational Resiliency
- Registered Investment Adviser Topics
- Private Fund Adviser Topics
- Registered Investment Company Topics
- Effectiveness of Compliance Programs
- Briefings on Current Issues
Click here for more information on the compliance outreach, including the agenda and list of speakers. Participants may submit questions in advance and during the event to complianceoutreach@sec.gov.
Source:
2026 Compliance Outreach Program National Seminar for Investment Advisers and Investment Companies (sec.gov)
