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 CCOs at investment companies and advisers.
- Panels cover information security and operational resiliency — core examination priorities for 2026-2027.
- Jointly sponsored by Divisions of Examinations, Investment Management, and Enforcement's Asset Management Unit.
- No registration required; webcast link goes live on SEC.gov the morning of the event.
- Agenda and question-submission links available now; firms should align compliance reviews with signaled regulatory focus.
Executive Intelligence Brief
Seminar Structure and Access
The event requires no advance registration. A link to the live webcast will be posted on SEC.gov the morning of November 19. Participants may submit questions for panelists in advance or during the event using links provided in the agenda, which the SEC has published separately. The format continues the Compliance Outreach Program's practice of fostering direct dialogue between regulators and industry compliance staff.
Regulatory Sponsorship and Focus Areas
The seminar is jointly sponsored by the SEC's Division of Examinations, Division of Investment Management, and the Asset Management Unit of the Division of Enforcement. The two announced panel topics — information security and operational resiliency — align with the Commission's persistent examination priorities for registered investment companies and advisers, reflecting heightened regulatory attention to cyber risk, business continuity, and third-party vendor oversight.
Context: Ongoing Compliance Outreach Mandate
The Compliance Outreach Program operates as a standing channel for open communication between securities regulators and the asset management industry on mutual fund, investment adviser, and broker-dealer compliance issues. Previous seminars have addressed topics such as liquidity risk management, Rule 38a-1 compliance program effectiveness, and fiduciary duty interpretations. The November session extends this framework into the current focus on technology-driven operational risk.
Implications for Compliance Programs
For chief compliance officers, the seminar offers a rare direct line to the examiners and enforcement staff who assess compliance program adequacy. Guidance offered during panel discussions often foreshadows areas of emphasis in upcoming examination sweeps and deficiency letters. Firms should treat the agenda as a signal to review their information security policies, incident response plans, and operational resilience testing against the benchmarks regulators are likely to articulate.
Forward Calendar and Monitoring Points
The immediate next step is the publication of the live webcast link on SEC.gov on the morning of November 19. Compliance officers should monitor the SEC's compliance resources page for the final agenda and question-submission portal. No further SEC-hosted national compliance seminars for the remainder of 2026 have been announced.
