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
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
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
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