The U.S. Securities and Exchange Commission said its Compliance Outreach Program will host an online national seminar for investment companies and investment advisers on Nov. 19, 2026. The event is aimed at chief compliance officers and senior management at advisory firms and investment companies, with a stated goal of helping firms strengthen their compliance frameworks and better protect investors. Topics on the agenda include information security and operational resilience, issues involving registered investment advisers, private fund advisers, and registered investment companies, as well as compliance program effectiveness and briefings on current hot topics. Attendees will not need to register in advance. The SEC said the livestream link will be posted on its website on the morning of Nov. 19, and participants will also be able to submit questions to panelists through a link in the agenda either before the event begins or during the seminar itself.
The U.S. Securities and Exchange Commission said its Compliance Outreach Program will hold an online national seminar for investment companies and investment advisers on Nov. 19, 2026.
According to the official announcement, the event is intended to help chief compliance officers and senior management at investment advisory firms and investment companies improve their compliance frameworks and better protect investors.
Topics on the agenda
The seminar will cover:
- information security and operational resilience
- issues related to registered investment advisers
- issues related to private fund advisers
- issues related to registered investment companies
- compliance program effectiveness
- briefings on current hot topics
How to attend
No advance registration will be required. The livestream link will be posted on the SEC website on the morning of Nov. 19.
Participants will also be able to submit questions to panelists through a link in the meeting agenda either before the event or during the seminar.
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