The SEC's Divisions of Examinations, Investment Management, and the Asset Management Unit of the Division of Enforcement jointly will sponsor a virtual compliance outreach program that will encourage open communications and coordination among securities regulators and the industry concerning mutual fund, investment adviser, and broker-dealer compliance issues. This online program is free for the public to attend and will take place November 7, 2024 from 8:30 a.m. to 5:30 p.m. ET. {expires: 2024-11-08}
The event will feature a discussion with SEC directors and the following panels:
- Information Security and Operational Resiliency
- Registered Investment Company Topics
- Private Fund Adviser Topics
- Marketing Rule
- Registered Investment Advisers
For more information on the compliance outreach program, including the agenda, please visit the event’s webpage.
Source:
Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers (sec.gov)
Agenda (sec.gov)
