The Securities and Exchange Commission will host a virtual national compliance outreach seminar for investment companies and investment advisers on November 19, 2026, targeting chief compliance officers and senior personnel with panel discussions on information security and operational resiliency.
Key Takeaways
- SEC virtual compliance seminar set for November 19, 2026, targeting investment company and adviser CCOs.
- Panel topics: information security and operational resiliency — core 2026 examination priorities.
- Jointly sponsored by Examinations, Investment Management, and Enforcement's Asset Management Unit.
- No advance registration required; webcast link posted on SEC.gov morning of event.
- Attendees can submit questions via agenda links before or during the seminar.
Executive Intelligence Brief
Seminar Structure and Access
The event requires no advance registration. A link to the live webcast will be published on SEC.gov the morning of November 19. The SEC said attendees may submit questions for panelists either in advance or during the event using links provided in the agenda, which is available on the agency's compliance outreach page.
The program is jointly sponsored by the SEC's Divisions of Examinations and Investment Management, along with the Asset Management Unit of the Division of Enforcement — a tripartite structure that underscores the coordination between examination staff, rulemaking authorities, and enforcement personnel on asset manager oversight.
Supervisory Focus on Cyber and Operational Risk
The two announced panel topics — information security and operational resiliency — align with the SEC's stated examination priorities for 2026, which emphasize cybersecurity risk management, business continuity planning, and third-party vendor oversight. The Division of Examinations has repeatedly flagged deficiencies in these areas during routine sweeps of registered investment advisers and fund complexes.
By convening a national seminar on these themes, the SEC is signaling that firms should expect continued scrutiny of their written policies, incident response testing, and board-level reporting on cyber and operational risk metrics.
Compliance Program Implications
For chief compliance officers, the seminar offers a rare direct channel to hear examination staff articulate current expectations without the filter of outside counsel or consultants. The inclusion of the Enforcement Division's Asset Management Unit suggests the program may also address how compliance failures in security and resiliency can escalate into enforcement actions.
Firms should treat the agenda as a de facto checklist for self-assessment ahead of the next examination cycle. The ability to submit questions in advance allows CCOs to probe specific interpretive issues — such as the adequacy of penetration testing frequency or the scope of vendor due diligence — that may not be addressed in published guidance.
Forward Outlook and Next Steps
The live webcast link will appear on SEC.gov the morning of November 19, 2026. No registration is required. The SEC's compliance page hosts additional resources, including prior seminar materials and risk alerts. Firms should monitor the agenda page for updates on panelists and the detailed schedule, and prepare questions that reflect their specific operational risk profiles.
