On Wednesday, October 7, 2020, the Securities and Exchange Commission (SEC) announced it has rescheduled its compliance outreach program’s national seminar for investment advisers to Nov. 19, 2020. The SEC intends for its compliance outreach program to help Chief Compliance Officers (CCOs) and compliance personnel enhance their compliance programs for the protection of investors. The November 19 program will be offered as a live webcast. All live virtual attendees can submit questions to speakers during the webcast. You can also submit questions prior to the event to ComplianceOutreach@sec.gov. Attendees do not need to register to attend the live webcast, which may be accessed via SEC.gov on the day of the event. The agenda for the seminar is available here. 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.
The SEC’s Division of Investment Management Director Dalia Blass said of the upcoming compliance outreach program’s national seminar, “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. The SEC will make a recording available on the SEC’s website after the event. For more information, contact: ComplianceOutreach@sec.gov.
Posted by Grant Parr