The Securities and Exchange Commission (SEC) will host a virtual national seminar on Nov. 7 targeted toward chief compliance officers at investment companies and investment advisers.

The event is intended to help CCOs and other senior personnel enhance their compliance programs for the protection of investors, the SEC said in a press release.

The conference will include panel discussion on information security and operational resiliency; registered investment company topics; private fund adviser topics; the marketing rule; registered investment adviser topics, and a hot topics lightning round that will include a discussion on artificial intelligence and cryptocurrency.

The full agenda is available here. Questions for the panel may be submitted in advance and during the event using the links provided in the agenda. Advance registration not required, and the SEC will provide a livestream of the webcast on Nov. 7.

Aaron Nicodemus covers regulatory policy and compliance trends for Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass.View full Profile

More from Aaron Nicodemus

Topics