WASHINGTON, D.C. — The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar tailored specifically for investment companies and investment advisers, scheduled for November 19, 2026. The upcoming event is designed to assist chief compliance officers, senior executives, and other key compliance personnel at registered investment advisory firms and investment companies in strengthening their internal compliance frameworks, ultimately with the broader goal of bolstering investor protection across the financial markets.
The initiative comes as regulatory oversight and compliance expectations continue to evolve within the asset management sector. By bringing industry professionals together with regulatory leaders, the seminar aims to address pressing compliance challenges, clarify regulatory expectations, and share best practices for identifying and mitigating risks within financial firms.
According to the SEC, the conference will feature a series of comprehensive panel discussions covering critical regulatory and operational topics relevant to modern investment management practices. While specific panel topics and detailed schedules are outlined in the full agenda published on the agency’s official website, participants and industry observers can expect deep dives into the complex regulatory landscape that defines contemporary asset management. Attendees have also been given the opportunity to actively participate in the shaping of these discussions by submitting questions for the panels, either in advance or dynamically during the live event, utilizing the submission links provided within the official agenda materials.
Accessibility has been a key consideration for the organizers of the upcoming seminar. The SEC has confirmed that advance registration is not required for industry professionals wishing to participate in the virtual event. Instead, a direct link to the live webcast will be made publicly available on the morning of November 19 directly on the homepage of SEC.gov, allowing wide access for compliance officers and legal professionals across the country without administrative hurdles.
The national compliance outreach program itself is a collaborative effort, jointly sponsored by several key arms of the Commission. These include the SEC’s Division of Examinations, the Division of Investment Management, and the Asset Management Unit of the Division of Enforcement. This multi-division sponsorship underscores the comprehensive approach the agency takes toward industry compliance, bridging the gap between routine regulatory examinations, policy guidance, and enforcement priorities.
The overarching mission of the compliance outreach program is to foster open communication, transparency, and effective coordination between securities regulators and the financial industry. By creating a collaborative dialogue, the initiative seeks to address mutual fund, investment adviser, and broker-dealer compliance issues proactively, helping firms navigate regulatory requirements before potential issues escalate into formal enforcement actions. Through these educational programs, the SEC aims to cultivate a culture of compliance that prioritizes the interests of everyday investors.
For investment professionals seeking additional guidance and educational materials ahead of the seminar or in their day-to-day operations, the SEC maintains a dedicated compliance page on its website. This portal offers a wide array of compliance-related resources designed to help firms stay informed about regulatory updates, guidance publications, and supervisory best practices.
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