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
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
Reversing Chevron Deference: An IAA Webinar Recap
An IAA webinar discussed the implications of overturning Chevron and other recent Supreme Court rulings for the investment adviser industry.
July 26, 2024
Bad Facts Create Good Law on Negligence Standard for Investment Advisers
Recent court decision SEC v. Rashid clarifies the negligence standard applicable to the anti-fraud provisions of the Advisers Act.
July 18, 2024
How to Get Cooperation Credit in an SEC Enforcement Case
SEC Division of Enforcement Director discusses five principles of effective cooperation in SEC investigations.
June 05, 2024
SEC Continues to Focus on Off-Channel Communications
At the 2024 IAA Investment Adviser Compliance Conference, a panel of compliance experts discussed the SEC’s current focus on off-channel communications and how advisers should respond.
April 19, 2024
Highlights from SEC Speaks Conference
Senior SEC staff discuss current priorities and initiatives at the SEC Speaks conference.
April 05, 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
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