2026 Compliance Outreach Program Regional Seminar for Investment Advisers and Investment Companies (New York)

The SEC's New York Regional Office (NYRO) is hosting a virtual compliance outreach seminar for New York-area investment advisers and investment companies. SEC examinations and enforcement staff will discuss a range of topics including the examination process, 2026 examination priorities, common deficiencies found in recent examinations, private funds, topics involving advisers and mutual funds, and evaluation of compliance programs. Additionally, the event will feature a panel on new registrant exams. This program is designed to provide a forum for chief compliance officers (CCOs) and other senior officers at registered investment advisers and investment companies to discuss compliance by sharing their views and experiences with regulators and collectively emphasizing the importance of compliance throughout a firm's business operations. It is intended to address the 'nuts and bolts' of compliance-related issues and may be most beneficial for mid-size and smaller advisory firms' CCOs and other senior officers.