Compliance and Regulatory Alerts | 11-07-24
SEC Virtual Compliance Outreach Seminar for Investment Professionals - November 7
The SEC has announced its upcoming National Compliance Outreach Seminar for investment companies and investment advisers, to be held virtually on November 7, 2024. This complimentary program delivers critical updates and guidance for Chief Compliance Officers and senior compliance personnel.
Key Topics Include:
- Information security and operational resiliency
- Registered investment company compliance
- Private fund adviser requirements
- Marketing rule implementation
- Investment adviser compliance updates
- Emerging regulatory topics
Date & Time:
November 7, 2024
8:30 a. m. - 5:30 p.m. ET
Who Should Attend?
CCOs and senior compliance personnel
Access link will be posted on SEC.gov the morning of the event. Questions can be submitted before and during the event.
About Bates Group:
Bates Group is a financial services consulting firm that provides expert advice and guidance to our partners in compliance, litigation, and regulatory matters. Our subject matter experts are highly regarded in their respective fields.
For over 40 years, Bates’ exposure to industry challenges, litigation matters, and enforcement actions has given us unique insight into matters that allow us to benefit all our partners. Contact us today for Compliance solutions for RIAs, BDs, Hybrids, and Funds.