IAA Today Archive

SEC Publishes 2024 Examination Priorities

SEC’s 2024 examination priorities include fiduciary duty, disclosure of material facts relating to conflicts of interest, advertising practices, and more.

October 17, 2023

Keywords: Fiduciary, Private Funds, SEC Examinations

Categories & Topics: Compliance, Examinations

2023 IAA Regional Compliance Roundtables: Thank You to SEC Speakers and Attendees!

Couldn’t attend the 2023 IAA Regional Compliance Roundtables? Here’s what you missed.

July 20, 2023

Keywords: Compliance Roundtables, SEC Examinations

Categories & Topics: Compliance, Compliance Programs, Member Benefits, Membership

SEC Issues Risk Alert with Exam Observations Related to LIBOR Transition

The Risk Alert describes examination observations of transition away from LIBOR by the asset management industry.

May 19, 2023

Keywords: Libor, SEC Examinations

Categories & Topics: Compliance, Examinations, Portfolio Management

New Marketing Rule: Initial Exam Expectations

Advisers should be prepared for the first round of SEC examinations for compliance with the new marketing rule.

November 28, 2022

Keywords: Marketing Rule, SEC Examinations

Categories & Topics: Advertising, Compliance, 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

SEC Compliance Outreach Program Scheduled for November 15

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September 22, 2022

Keywords: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations

Categories & Topics: Advertising, Compliance, Compliance Programs, ESG, Industry-Level, Private Funds, Registered Funds

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

Richard Best Named Director of SEC’s Division of Examinations

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May 25, 2022

Keywords: SEC Appointments, SEC Examinations

Categories & Topics: Compliance, Examinations