SEC Hosts Compliance Seminar for Investment Companies and Advisers

On Thursday, November 19, the Securities and Exchange Commission (SEC) plans to host a virtual seminar on compliance for investment companies and investment advisers. The event is targeted toward chief compliance officers and senior personnel at investment advisory firms and investment companies to enhance their compliance programs and better protect investors. Specific topics include information security, operational resiliency, conflicts of interest, alternative investments in retail products, regulatory disclosures and reporting, and the implementation of compliance policies and procedures, among other topics. Panels will consist of SEC staff members across several divisions including Examinations, Investment Management, and Enforcement, as well as compliance professionals in the private sector.

Click here to register for the SEC’s compliance program.