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
Artificial intelligence is the talk of the investment town, but investment advisers are struggling to understand exactly how AI will impact their businesses and how they can best manage its risks.
May 14, 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
Investment adviser CCOs are continually preparing for their next SEC examination. Staying on top of the latest trends in exam process and focus can help ensure that their preparations are efficient and effective.
April 06, 2023
Marketing Rule Lessons Learned
The compliance date for the new Marketing Rule is now five months in the rear-view mirror. How has the implementation process gone so far, and what questions still need to be resolved?
April 06, 2023
Aligning ESG Investing and Compliance
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March 24, 2022
High Tech in High Finance | SEC’s FinHub, Compliance Automation
As in other industries, technological change is driving innovation in asset management.
April 19, 2021
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules
Panelists at the 2021 IAA Investment Adviser Compliance Conference reviewed the rapidly evolving cybersecurity and data privacy environment. Here are their top tips for how investment advisers can stay one step ahead.
April 07, 2021
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