Aggregated News From Investment Management Regulators

SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers Virtually


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Washington D.C., Oct. 7, 2020 —

The Securities and Exchange Commission today announced that it has rescheduled its compliance outreach program’s national seminar for investment companies and investment advisers to Nov. 19, 2020. This program is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms enhance their compliance programs for the protection of investors. The November program will be offered as a live webcast—both speakers and attendees will be participating in the program remotely. All live webcast attendees may view the program real-time, access presentation materials, and submit questions to the speakers during the presentation. Questions for the panels may also be submitted prior to the event to [email protected].

The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management (IM), and the Asset Management Unit (AMU) of the Division of Enforcement jointly sponsor the compliance outreach program. Investment advisers and investment company senior officers do not need to register to attend the live webcast, which may be accessed via on the day of the event. The agenda for the seminar is available here. Speakers will include senior representatives from the Commission, OCIE, IM, AMU, and industry. Topics will include: program priorities in 2020, business continuity and information security, issues regarding conflicts of interest, regulatory hot topics, and topics specific to investment companies.

“Continuing the open dialogue between SEC staff and industry professionals is critically important in light of the broad and varied issues we have faced due to the COVID-19 pandemic. Providing the compliance community with important information through this virtual event is one of the many ways OCIE continues to ensure that its work can be conducted in a manner consistent with maintaining normal operations and appropriate health and safety measures,” said OCIE Director Peter Driscoll. “We look forward to discussing these timely topics, which aim to promote improved compliance in the industry.”

“The Division of Investment Management welcomes the opportunity to engage with compliance professionals as we consider policies affecting investment companies and investment advisers,” said IM Director Dalia Blass. “We are hopeful that this continued dialogue with Chief Compliance Officers and their teams would better prepare the compliance community and regulators alike in responding to the numerous challenges that lie ahead, including those related to the COVID-19 pandemic and beyond. We look forward to sharing our thoughts with compliance professionals on a number of pressing issues affecting Main Street investors today.”

Although registration is not required to attend the virtual seminar, there is a possibility that live access demand may exceed capacity. A recording will be made available on the SEC’s website after the event.  For more information, contact:  [email protected]

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Regulator Information

Abbreviation: SEC
Jurisdiction: United States

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