Monday, October 12. 2020

SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers

On October 7th, the SEC announced that it has rescheduled its compliance outreach program’s national seminar for investment companies and investment advisers. It will now take place on November 19, 2020. The compliance program is aimed at helping chief compliance officers (CCOs) and other senior personnel at investment companies and investment advisory firms improve their compliance programs for the protection of investors. Continue reading "SEC to Host Virtual National Compliance..." »
Posted by
The Novaworks Team
in Events, Investment Management, SEC at 10:50
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