SEC Meetings and Other Events

2026 Compliance Outreach Program Regional Seminar for Investment Advisers and Investment Companies (New York)

Virtual
Jun 16, 2026
9:15AM – 2:15PM ET
Add to Calendar 2026-06-16 09:15:00 2026-06-16 14:15:00 2026 Compliance Outreach Program Regional Seminar for Investment Advisers and Investment Companies (New York) \n\n

ComplianceOutreach@sec.gov

 no-reply@sec.gov America/New_York public

The SEC's New York Regional Office (NYRO) is hosting a virtual compliance outreach seminar for New York-area investment advisers and investment companies. 

SEC examinations and enforcement staff will discuss a range of topics:

  • the examination process
  • 2026 examination priorities
  • common deficiencies that have been found in recent examinations
  • private funds
  • topics involving advisers and mutual funds
  • evaluation of compliance programs

In addition, the event will feature a panel on new registrant exams. 

Agenda

Time Topic
9:15 a.m.

Welcome and Opening Remarks

  • Maurya Keating, Associate Director, NYRO Examination Program
9:30 a.m.

Overview of the Division of Examinations and the Exam Process

  • Majid Mahmood, Assistant Director (IA/IC), NYRO Examination Program
  • Emanuel Asmar, Exam Manager (IA/IC), NYRO Examination Program
10:10 a.m.

FY 2026 Exam Priorities

  • Michael O’Donnell, Strategic Risk Coordinator (IA/IC), NYRO Examination Program
  • Amritpal Sidhu, Senior Securities Compliance Examiner (IA/IC), NYRO Examination Program
10:50 a.m.            

Division of Enforcement Priorities and Update

  • Salvatore Massa, Senior Counsel, Asset Management Unit, Division of Enforcement
  • Corey Schuster, Chief, Asset Management Unit, Division of Enforcement
11:30 a.m.

Common Deficiencies

  • Xiomarisy Munoz, Senior Securities Compliance Examiner (IA/IC), NYRO Examination Program
  • Amritpal Sidhu, Senior Securities Compliance Examiner (IA/IC), NYRO Examination Program
  • Monica Medrano, Attorney Adviser, (IA/IC), NYRO Examination Program
12:05 p.m.

Private Funds

  • Daniel Faigus, Acting Co-Head, Private Fund Unit, SEC Division of Examinations
12:40 p.m.

Hot Topics

  • Katherine Feld, Senior Special Counsel (IA/IC), NYRO Examination Program
  • Eric Baltuch, Exam Manager (IA/IC), NYRO Examination Program
1:15 p.m.

Evaluation of Compliance Programs 

  • Edward Perkins, Exam Manager (IA/IC), NYRO Examination Program
  • Brendan Biolsi, Senior Staff Accountant, Private Funds Unit, NYRO Examination Program
1:50 p.m.

New Registrant Exams

  • Shirley Maldonado, Exam Manager (IA/IC), NYRO Examination Program
  • William Ostrow, Senior Staff Accountant (IA/IC), NYRO Examination Program
  • Barry Simmons, Regulatory Counsel, NYRO Examination Program
2:10 p.m.

Concluding Remarks

  • Maurya Keating, Associate Director, NYRO Examination Program



 

Last Reviewed or Updated: April 15, 2026