“The Workplace Must Become a Magnet” – Three Trends in the Future of Work
Three industry experts explore the post-pandemic challenges of sustaining culture, performance, and employee and client satisfaction amidst a sea of expectations and needs.
October 25, 2021
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules
Panelists at the 2021 IAA Investment Adviser Compliance Conference reviewed the rapidly evolving cybersecurity and data privacy environment. Here are their top tips for how investment advisers can stay one step ahead.
April 07, 2021
Seven Tips for Preparing for an SEC Exam
While the pandemic has slowed down much of life, it has had little impact on one of the bigger challenges that an investment advisory compliance effort will face: an SEC examination.
March 30, 2021
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce
The European “merit regulation” on ESG is not a model for the United States, suggested SEC Commissioner Hester Peirce, in her keynote conversation with IAA President & CEO Karen Barr at the 2021 IAA Investment Adviser Compliance Conference.
March 09, 2021
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
Getting Proactive on ESG: Five Tips for Advisers
Environmental, social, and governance: three factors that have become the focus of attention in the investment world. But where is the investment industry when it comes to incorporating the ESG factors into client portfolios?
January 05, 2021
IT Pros Discuss Top Five Tech Priorities
At the IAA Leadership Week virtual conference in October, IT professionals shared their thinking on critical priorities. Here are five areas that they are emphasizing today.
December 09, 2020
Building an Engaged Culture in a Remote World: Three Steps to Take Today
Of course, the pandemic has made many traditional tools unavailable, but the imperative of building employee engagement remains – even in a virtual environment.
November 16, 2020
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