Highlights from the 2025 IAA Compliance Conference
In case you missed the 2025 Compliance Conference, here are some key takeaways.
March 17, 2025
Pushback on Aggressive SEC Agenda
In a panel at the 2024 IAA Investment Adviser Compliance Conference, industry experts provided insights on how trends in Washington will affect investment advisers.
April 11, 2024
“Why Don’t We Just Cut Them a Break?” | Focus on Smaller Advisers
“One thing that frustrates me to no end is the lack of accommodation for smaller firms,” noted SEC Commissioner Mark T. Uyeda, adding that many at the SEC “don’t have a good grasp of what it means to be a smaller firm.”
April 06, 2023
SEC Officials in the Spotlight at IAA Compliance Conference
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
March 17, 2023
Aligning ESG Investing and Compliance
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March 24, 2022
Navigating Regulatory Change in Europe | Four Hot Topics
Navigating Regulatory Change in Europe | Four Hot Topics March 16, 2021 With Brexit roiling the waters, the regulatory environment in Europe is particularly dynamic at the moment. In the...
March 16, 2021
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce Commissioner Questions Agency’s Recent ESG, Climate Initiatives March 9, 2021 The European “merit regulation” on ESG is not...
March 09, 2021
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement
Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement March 9, 2021 Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of...
March 09, 2021
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