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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

Keywords: Compliance Conference, Gary Gensler, Karen Barr, SEC Examinations

Categories & Topics: Compliance, Compliance Programs, Enforcement, Examinations, FinTech & Digital, Member Benefits, Membership

All Things Digital, Private Markets Highlighted at SEC Speaks Conference

SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.

October 15, 2021

Keywords:  FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate

Categories & Topics: Compliance, Enforcement, Industry Trends, Industry-Level

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