SEC将举办虚拟全国合规宣传研讨会
SEC将举办一场虚拟研讨会，面向投资公司和顾问，时间为2026年11月19日，旨在加强合规计划并解决当前问题。
为什么重要. 投资公司和顾问将获得合规方面的指导，这可能有助于提高投资者保护。
01
证据
- SSEC Press Releases监管机构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监管机构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监管机构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监管机构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.