Compliance and Regulatory Alerts | 11-07-24
SEC Virtual Compliance Outreach Seminar for Investment Professionals - November 7
The SEC has announced its upcoming National Compliance Outreach Seminar for investment companies and investment advisers, to be held virtually on November 7, 2024. This complimentary program delivers critical updates and guidance for Chief Compliance Officers and senior compliance personnel.
Key Topics Include:
- Information security and operational resiliency
- Registered investment company compliance
- Private fund adviser requirements
- Marketing rule implementation
- Investment adviser compliance updates
- Emerging regulatory topics
Date & Time:
November 7, 2024
8:30 a. m. - 5:30 p.m. ET
Who Should Attend?
CCOs and senior compliance personnel
Access link will be posted on SEC.gov the morning of the event. Questions can be submitted before and during the event.