SEC Officials in the Spotlight at IAA Compliance Conference
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
March 17, 2023
President Biden Proposes Budget Boost for SEC to Support Enforcement
President Biden’s 2023 budget provides an additional 7.5 percent for the SEC.
March 29, 2022
SEC Fines Adviser for Misleading Clients on Faith-Based Investment Strategy
ESG-related enforcement case against digital adviser that misled retail investors.
February 16, 2022
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 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...
March 09, 2021
SEC Announces Enforcement Task Force on Climate and ESG
SEC Acting Chair Allison Herren Lee In the yet another move to intensify its focus on matters relating to ESG disclosures and investments, the SEC’s Division of Enforcement has...
March 05, 2021
SEC Acting Chair Lee Changes Policy on Contingent Settlement Offers
SEC Acting Chair Allison Herren Lee In a move sure to unnerve registrants looking to settle an SEC enforcement action, SEC Acting Chair Allison Herren Lee has reversed a...
February 17, 2021
SEC Acting Chair Boosts Enforcement Division Powers
In another signal that the SEC will become more aggressive under the Biden Administration, Acting Chair Allison Herren Lee has restored authority to senior Division of Enforcement officers to initiate...
February 11, 2021
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