In a panel at the 2024 IAA Investment Adviser Compliance Conference, industry experts provided insights on how trends in Washington will affect investment advisers.
In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
At the IAA Policy and Leadership Forum, a panel of Washington experts discussed regulatory and legislative developments that are important to the advisory community.
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
SEC Chair Names Additional Members of Policy Team July 20, 2021 SEC Chair Gary Gensler has named five new members of his policy team, which is led by Policy...
SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency Roisman Raises Concerns about SEC’s Role in ESG Disclosures June 29, 2021 SEC Chair Gary Gensler discussed several of the SEC’s...
SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds Introduces New Subcommittees on Smaller Advisers, Evolution of Advice April 2, 2021 The SEC’s Asset Management Advisory Committee’s (AMAC’s)...
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