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
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
Tags: Compliance Conference, Cybersecurity, Marketing Rule, SEC, SEC Enforcement, SEC Examinations, Smaller Advisers
Mini Career Fair Introduces Students to Investment Adviser Community
More than 170 students registered for the event, a collaborative effort between Boston University’s Questrom School of Business and the Investment Adviser Association.
February 16, 2023
Tags: Human Resources
IAA Briefs Members on 2023 Policy Landscape
In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
February 10, 2023
Tags: Advocacy, Cybersecurity, ESG, IAA on Capitol Hill, Marketing Rule, Outsourcing, SEC Investment Management, Webinars
IAA Member Survey Indicates SEC Severely Underestimates Cyber Proposal Costs
Results of the IAA’s 10-question member survey on the costs associated with the SEC’s cybersecurity proposal, which we believe the SEC severely underestimates. These results can help members benchmark their cybersecurity-related costs.
January 04, 2023
Tags: Cybersecurity, Surveys
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
Tags: Marketing Rule, SEC Examinations
2022 IAA Compliance Workshops Takeaways – Focus on the Marketing Rule
SEC staff takeaways on Marketing Rule exams at 2022 IAA Compliance Workshops.
November 17, 2022
Tags: Examinations, IAA Compliance Workshops, Marketing Rule
Confronting the Retirement Savings Gap
There’s good news, and there’s bad news. The good news is that the U.S. retirement system “works beautifully when people are in it and use it.” The bad news: 57 million Americans – nearly half of the population – don’t have access to a retirement plan at work.
November 09, 2022
CEOs Reflect on the Past, Future Leadership Challenges
“What hasn’t changed?” This was the key question during a discussion between industry leaders about how the investment industry has changed over the past quarter century and what challenges lie ahead.
November 02, 2022
Experts Discuss Key Adviser Issues; Changes Post-Election
At the IAA Policy and Leadership Forum, a panel of Washington experts discussed regulatory and legislative developments that are important to the advisory community.
October 27, 2022
Tags: Retirement Savings, AML, ESG, Inside the Beltway