Same Diligence, Different Emphasis | The Outlook for SEC Exams and Enforcement
With so much in flux in Washington, many investment advisers are wondering: Will the SEC exam and enforcement environment be changing under the new administration?
May 15, 2025
Artificial intelligence is the talk of the investment town, but investment advisers are struggling to understand exactly how AI will impact their businesses and how they can best manage its risks.
May 14, 2024
Successful IAA Compliance Conference Sees Spirited Discussions, Record Attendance
More than 600 investment advisory industry professionals convened at the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.
March 14, 2024
Marketing Rule Lessons Learned
The compliance date for the new Marketing Rule is now five months in the rear-view mirror. How has the implementation process gone so far, and what questions still need to be resolved?
April 06, 2023
Aligning ESG Investing and Compliance
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March 24, 2022
High Tech in High Finance | SEC’s FinHub, Compliance Automation
As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment Adviser Compliance Conference, a breakout session titled Adapting Technology to Achieve Compliance Efficiency...
April 19, 2021
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules
“There is a tremendous amount of activity,” stressed Kirk Nahra of WilmerHale. “We’ve seen almost an annual seismic shift in privacy law. It’s becoming a much more challenging issue.” Kirk...
April 07, 2021
Seven Tips for Preparing for an SEC Exam
While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will face: an SEC...
March 30, 2021
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