A big thank you to everyone who helped make the 2023 IAA Compliance Workshops a success. If you didn't make it to a Compliance Workshop this year, here's what you missed.
SEC’s 2024 examination priorities include fiduciary duty, disclosure of material facts relating to conflicts of interest, advertising practices, and more.
The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
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