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
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
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
The SEC's Asset Management Advisory Committee (AMAC) is recommending that the SEC address the IAA's calls for relief for smaller investment advisors through tailored regulation and assessment of the cumulative impact of regulation on small firms.
November 04, 2021
SEC’s Gensler Addresses FinTech Priorities
Observing that “ew financial technologies continue to change the face of finance for investors and businesses” globally, SEC Chair Gary Gensler used a recent opportunity to appear before the European Parliament’s Committee on Economic and Monetary Affairs to address several areas where finance and technology intersect.
September 03, 2021
SEC’s Gensler Discusses Gaps in the Regulation of Digital Assets
In a recent speech before the Aspen Security Forum, SEC Chair Gary Gensler raised investor protection concerns in connection with digital assets and called on Congress to provide the SEC and other regulators with authority to “write rules and attach guardrails” to trading and lending in digital assets.
August 17, 2021
SEC Chair Gary Gensler provided an update on regulatory reforms related to security-based swaps in a recent speech, in which he highlighted several areas where he has asked the SEC staff to consider potential rules, and discussed digital asset platforms.
July 27, 2021
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