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
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement
Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of the SEC’s Division of Examinations, in a conversation with IAA General Counsel Gail...
March 09, 2021
Getting Proactive on ESG: Five Tips for Advisers
Environmental, social, and governance: three factors that have become the focus of attention in the investment world. But where is the investment industry when it comes to incorporating the ESG...
January 05, 2021
IT Pros Discuss Top Five Tech Priorities
Investment technology is an increasingly important part of both the value proposition and the cost equation for an asset management firm. Making the right strategic decisions about where to spend...
December 09, 2020
Proxy Voting Not “Set It and Forget It,” Experts Agree
What’s the big deal about proxy voting? To the surprise of many investment advisers, proxy voting has become a hot topic in Washington over the last two years – the...
September 22, 2020
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