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
Additional Sample SEC Exam Letters Posted In IAA Resource Center
The IAA has posted several additional sample SEC examination letters in the Resource Center of our website.
April 10, 2025
SEC Publishes 2025 Examination Priorities
SEC’s 2025 examination priorities include fiduciary duty, effectiveness of compliance programs, cybersecurity, and artificial intelligence.
October 21, 2024
Highlights from SEC Speaks Conference
Senior SEC staff discuss current priorities and initiatives at the SEC Speaks conference.
April 05, 2024
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
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
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
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
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