SEC Sets November 2026 Virtual Compliance Seminar for Advisers and Funds
SEC sets a Nov. 19, 2026 virtual compliance seminar for advisers and funds, covering information security, resilience, private funds and program oversight.
Summary
The Securities and Exchange Commission’s Compliance Outreach Program will hold a virtual national seminar on November 19, 2026, for chief compliance officers and senior personnel at investment advisory firms and investment companies. Announced October 6 in press release 2026-102, the event is intended to strengthen compliance programs and investor protection.
Panels will address information security and operational resiliency, registered investment advisers, private fund advisers, registered investment companies, compliance-program effectiveness and current issues. Questions may be submitted before or during the event through agenda links. Advance registration is unnecessary, and SEC.gov will post the live webcast link on November 19. The Divisions of Examinations and Investment Management and the Division of Enforcement’s Asset Management Unit jointly sponsor the program, which supports regulatory and industry coordination on mutual fund, investment adviser and broker-dealer compliance.
Positives
- The November 19, 2026 seminar targets chief compliance officers and senior personnel responsible for protecting advisory-firm and investment-company clients.
- Information security, operational resiliency and compliance-program effectiveness receive dedicated panel coverage alongside adviser and investment-company topics.
- Questions can be submitted before or during the seminar through links in the published agenda.
- No advance registration is required, reducing participation barriers for investment advisers and investment companies.
- Three SEC units jointly sponsor the program, combining examinations, investment-management and asset-management enforcement perspectives.
Risks & concerns
- The live webcast link will not be available until the morning of November 19, limiting advance access planning.
- The October 6 release provides no substantive compliance guidance, panel conclusions or policy changes ahead of the seminar.
- The broad agenda identifies six discussion areas but provides limited detail about specific issues, speakers or expected outcomes.
- The announcement offers no firm-specific findings or enforcement developments, limiting immediate investor read-through.
