IAA Today Archive

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

Keywords: Compliance Conference, Examinations, SEC Enforcement, SEC Examinations

Categories & Topics: Compliance, Enforcement, Examinations

Highlights from SEC Speaks Conference

Senior SEC staff discuss current priorities and initiatives at the SEC Speaks conference.

April 05, 2024

Keywords: SEC Enforcement, SEC Examinations, SEC Investment Management

Categories & Topics: Compliance, Enforcement, Examinations

Highlights from the SEC’s Outreach Program for Advisers and Funds

Summary of the SEC’s 2022 Investment Adviser/Investment Company National Seminar: Compliance Outreach Program.

November 17, 2022

Keywords: SEC Enforcement, SEC Examinations, SEC Investment Management, SEC Outreach

Categories & Topics: Advertising, Compliance, Compliance Programs, Examinations

Regulatory Game Changers on the Horizon

The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.

May 31, 2022

Keywords: CCO, Compliance, Private Funds, SEC Enforcement, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Compliance Programs, Enforcement, Examinations, Private Funds

Gensler Gets Tough on Enforcement Cases, Focuses on “High Impact” Cases

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November 22, 2021

Keywords: Gary Gensler, SEC Enforcement, SEC Examinations

Categories & Topics: Compliance, Enforcement, Examinations

SEC Fines Advisers for Failure to Comply with Form CRS Requirements

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November 04, 2021

Keywords: Form CRS, SEC Enforcement, SEC Examinations

Categories & Topics: Compliance, Enforcement, Examinations

Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement

Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of the SEC’s Division of Examinations, in a conversation with IAA General Counsel Gail Bernstein at the 2021 IAA Investment Adviser Compliance Conference.

March 09, 2021

Keywords: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways

Categories & Topics: Compliance, ESG, Examinations, Industry-Level

Statistics Point to Record-Setting Year for SEC

SEC Chairman Jay Clayton provided an update on the SEC’s results for the 2020 fiscal year during this year’s virtual SEC Speaks conference.

October 15, 2020

Keywords: Diversity & Inclusion, Jay Clayton, SEC Enforcement

Categories & Topics: Business Ops/HR, Compliance, Diversity & Inclusion, Examinations, Industry Trends, Industry-Level, Registered Funds