SEC National Compliance Forum Sets Agenda with Crypto in the Spotlight
The U.S. Securities and Exchange Commission (SEC) has scheduled a national online compliance outreach seminar for November 19. Aimed at investment companies and registered investment advisers, the full-day event is designed to assist chief compliance officers and senior management in enhancing their investor protection compliance programs.
Conference Agenda: Six Sessions Addressing Regulatory Priorities
The forum features six distinct sessions. The concluding "Current Issues Briefing" is particularly noteworthy for its inclusion of "Crypto Assets" as a key topic. Taylor Lindman, Chief Legal Advisor for the SEC's Crypto Assets and Cyber Unit, is slated to speak on this subject.
Beyond Cryptocurrency: A Range of Emerging Topics
The same briefing will cover several other cutting-edge regulatory areas:
- Superintelligence Oversight: Led by SEC Chief Superintelligence Officer Valarie Szczepanik, discussing compliance challenges posed by advanced AI.
- Internet Investment Advisers & TAMPs: Focusing on regulatory developments for online advisory models and turnkey asset management platforms.
- Marketing Rule Updates: Interpreting the latest compliance requirements for investment marketing.
This lineup signals the SEC's expanding focus beyond traditional fintech into rapidly evolving sectors.
How to Participate
SEC Chair Atkins will deliver opening remarks. The event requires no prior registration and will be live-streamed publicly on the SEC's website. Both industry professionals and the public can submit questions in advance or during the event, allowing for direct engagement with SEC staff.
For compliance professionals, this forum offers critical insight into the regulator's upcoming priorities and enforcement posture, especially regarding fast-moving areas like digital assets and artificial intelligence.