Hello all,

The U.S. Securities and Exchange Commission’s Los Angeles and San Francisco Regional Offices are announcing a DE&I panel and compliance outreach program that will be held virtually on April 26, 2023 starting at 9:00 am (Pacific Time).  The event will begin with a panel on perspectives from women- and minority-led registered investment advisers, and then launch into a more traditional compliance program for registered investment advisers.  This event is intended to raise awareness and conversations around the perspectives and challenges faced by women- and minority-led financial firms.  You’ll hear from founders and/or leaders of such advisory firms and their views on growing healthy investing practices and wealth in underrepresented communities.  The first panel will be followed by the agency’s traditional compliance outreach to enhance compliance programs generally across registered investment advisers for the protection of investors.  Please see attached flyer for more details.

The April program will be offered as a live webcast—both speakers and attendees will be participating in the program remotely. Registration is not required to attend the live webcast. You may access the program via this linked page on the day of the event. 

All live webcast attendees may view the program in real-time, but questions must be submitted 24 hours before the presentation.  Questions for the panels may be submitted prior to the event by clicking here.

 Topics to be discussed include:

(1) A dynamic panel of founders and executives of financial advisory firms will share their experiences, insights, and successes in launching investment and financial firms.  The panel will discuss their challenges and opportunities and how the financial services community and the SEC can work together to increase investing and wealth in underrepresented communities;

(2) the nuts and bolts of the examination process; and

(3) hot topics, including the Marketing Rule, Environmental Social and Governance (ESG) and off-channel communications. 

There is a possibility that live access demand may exceed capacity.

For more information or general questions, contact:  ComplianceOutreach@sec.gov