Published on Sep 23rd, 2022 |

SEC Compliance Outreach Program National Seminar

The SEC recently announced the date for their Compliance Outreach Program National Seminar which will be on Tuesday, November 15th, at 8:30 AM ET (virtually).

To attend the Seminar, the SEC stated that it can be found on their website the day of the event.

This seminar is jointly sponsored by the following Divisions from the SEC below.

  • Division of Examinations (EXAMS)
  • Division of Investment Management (IM)
  • Asset Management Unit (AMU) of the Division of Enforcement

Who Should Attend This Seminar?

  • Chief Compliance Officers
  • Senior Personnel at Investment Advisory Firms and Investment Companies that enhance their Compliance Programs for the protection of investors.

7 Panel Topics That Will Be Discussed

  1. New Marketing Rule
  2. Private Fund Adviser Topics
  3. Registered Fund Topics
  4. ESG Topics
  5. Fiduciary Interpretation and Form CRM
  6. SEC Directors Panel
  7. Hot Topics Lightning Round


Vigilant’s Final Conclusion

For this event, we see great value in attending, especially with the New Marketing Rule coming into effect.

It will be great to hear from the Divisions of the SEC where we anticipate the hope to receive more clarity on certain topics that we are awaiting additional guidance on.

The following buttons below are helpful links if you are interested in attending.

Agenda For The Seminar

Submit Questions Here To The SEC For The Relevant Panels


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