IAA Today Archive

SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers

We’re sorry – you must be a member to view this content. Please log in.

October 19, 2022

Keywords: Cybersecurity, ESG, Fiduciary, Gary Gensler, Karen Barr, Policy & Leadership Forum, Reg BI, SEC

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

IAA, Other Trade Associations Urge SEC to Lengthen Short Comment Periods

The IAA and other trade associations urge the SEC to provide more time to comment on the many concurrent and consequential rule proposals to allow for more thorough and meaningful feedback.

April 06, 2022

Keywords: Advocacy, Gary Gensler, SEC

Categories & Topics: Industry Trends, Industry-Level

Birdthistle, Crenshaw Headline IAA Compliance Conference

The SEC’s Crenshaw and Birdthistle spoke at the 2022 IAA Investment Adviser Compliance Conference about cybersecurity, cryptocurrency, and other digital topics.

March 24, 2022

Keywords: Caroline Crenshaw, Cybersecurity, Digital Assets, Gary Gensler, William Birdthistle

Categories & Topics: Compliance, Cybersecurity/Privacy, FinTech & Digital, Industry Trends, Industry-Level

AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach

We’re sorry – you must be a member to view this content. Please log in.

November 04, 2021

Keywords: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr

Categories & Topics: Compliance, FinTech & Digital, Industry Trends, Industry-Level

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

SEC Chair Names Additional Members of Policy Team

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...

July 20, 2021

Keywords: ESG, Gary Gensler, SEC Appointments

Categories & Topics: Industry Trends, Industry-Level

SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency

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...

June 29, 2021

Keywords: Elad Roisman, ESG, Gary Gensler, Regulatory Agendas

Categories & Topics: ESG, Industry Trends, Industry-Level