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2021 Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers

Nov. 19, 2021

The seminars are 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 events provide 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.

Most regional seminars will include an overview of the Division of Examination’s 2021 Priorities and other topics of interest selected by the individual Regional Office sponsoring the event. The 2021 Regional Seminars will be entirely virtual (webcast) and invitations to attend the events will be sent to region-specific registrants via an SEC email account (e.g., The 2021 Regional Seminar schedule is as follows:

  • Atlanta Regional Office (February)
  • Boston Regional Office (December)
  • Chicago Regional Office (February, September, and December)
  • Fort Worth Regional Office (February)
  • New York Regional Office (November)
  • San Francisco Regional Office (December)
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