Leadership and Companies
SEC Sets Virtual Compliance Seminar for Investment Firms on November 19
The SEC will host a virtual compliance seminar for investment companies and advisers on November 19, 2026.
What happened
The Securities and Exchange Commission will hold a virtual national seminar for investment companies and investment advisers on November 19, 2026. The event will help chief compliance officers and senior personnel strengthen compliance programmes to protect investors. Sessions will cover information security, operational resilience, private funds, registered funds, adviser issues and compliance-program effectiveness. Registration is not required.
Why it matters
The seminar gives compliance leaders direct coverage of operational, cybersecurity and regulatory issues relevant to investment firms and investor protection.
Source: U.S. SEC Press Releases