US regulator offers seminar for investment firms, advisers

Conference will include discussions on information security, operational resiliency, private fund adviser topics

By Ovunc Kutlu

ISTANBUL (AA) - The US Securities and Exchange Commission (SEC) announced Friday it will hold a virtual national compliance outreach seminar for investment companies and investment advisers.

This seminar aims to help chief compliance officers and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs for the protection of investors.

The conference will include discussions on information security and operational resiliency, registered investment company topics, and private fund adviser topics, the SEC said in a statement.

There will also be discussions about marketing rules and registered investment adviser topics, it added.

The seminar will be held on Nov. 7 with virtual attendance only, and a link to the live webcast will be made available in the morning of the event on the SEC website.

Kaynak:

This news has been read 58 times in total