(For Investment Adviser and Investment Company Senior Officers)

This seminar is jointly sponsored by the SEC's Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement's Asset Management Unit. The event provides an opportunity for SEC staff to share information about risks, priorities, and deficiencies observed in examinations or investigations and to discuss how senior executives and compliance professionals have addressed such matters.

This seminar will be held on November 19, 2020 (12:00 pm to 4:50 pm ET). The November program will be offered as a live webcast—both speakers and attendees will be participating in the program remotely. All live webcast attendees may view the program real-time, access presentation materials, and submit questions to the speakers during the presentation. Although registration is not required to attend the virtual seminar, there is a possibility that live access demand may exceed capacity. A recording will be made available on the SEC's website after the event.

• Welcome Letter from Chairman Clayton
• Opening Remarks from OCIE Director Peter Driscoll
• Press Release
• Agenda
• Speaker Bios
• Webcast Archive