At a glance
- The event runs through the SEC's Compliance Outreach Program and is aimed at chief compliance officers and senior personnel at advisory firms and fund companies, the SEC said.
- For manager-selection and due-diligence teams, the session requires no travel because it is virtual.
- The program is sponsored by the SEC's Division of Examinations, Division of Investment Management and the Asset Management Unit of the Division of Enforcement.
The SEC will host a virtual national compliance seminar for investment advisers and investment companies on Nov. 19, 2026.
The event runs through the SEC's Compliance Outreach Program and is aimed at chief compliance officers and senior personnel at advisory firms and fund companies, the SEC said. No advance registration is required.
For manager-selection and due-diligence teams, the session requires no travel because it is virtual. The webcast link is posted on SEC.gov the morning of Nov. 19. Questions can be submitted in advance or during the event through links in the agenda.
The program is sponsored by the SEC's Division of Examinations, Division of Investment Management and the Asset Management Unit of the Division of Enforcement. It covers mutual fund, investment adviser and broker-dealer compliance issues.
Reported by the Manager Selection desk from SEC — Division of Examinations press release 2026-102. Published . Corrections