SECが仮想の国家規制対応セミナーを主催する
SECは、投資会社およびアドバイザー向けに2026年11月19日にバーチャルセミナーを開催し、コンプライアンスプログラムの強化と現在の問題に対処することを目的としています。
なぜ重要か. 投資会社およびアドバイザーは、コンプライアンスに関するガイドラインを受け取り、投資家保護が改善される可能性があります。
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- SSEC Press Releases規制当局2026-10-06 22:37
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance officers and senior personnel at investment advisory firms and investment companies enhance their compliance programs to protect investors.
- SSEC Press Releases規制当局2026-10-06 22:37
Advance registration is not required. A link to the live webcast will be made available the morning of November 19 on SEC.gov .
- SSEC Press Releases規制当局2026-10-06 22:37
The program promotes open communications and coordination among securities regulators and the industry on mutual fund, investment adviser, and broker-dealer compliance issues.
- SSEC Press Releases規制当局2026-10-06 22:37
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026.