Tag: Compliance Conference
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
Tags: Compliance Conference, Examinations, SEC Enforcement, SEC Examinations
Highlights from the 2025 IAA Compliance Conference
In case you missed the 2025 Compliance Conference, here are some key takeaways.
March 17, 2025
Tags: Compliance Conference, Hester Peirce, SEC
Artificial intelligence is the talk of the investment town, but investment advisers are struggling to understand exactly how AI will impact their businesses and how they can best manage its risks.
May 14, 2024
Pushback on Aggressive SEC Agenda
In a panel at the 2024 IAA Investment Adviser Compliance Conference, industry experts provided insights on how trends in Washington will affect investment advisers.
April 11, 2024
Tags: Advocacy, Compliance Conference, ESG, Inside the Beltway
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
Tags: Compliance Conference, Gary Gensler, Karen Barr, SEC Examinations
“Why Don’t We Just Cut Them a Break?” | Focus on Smaller Advisers
“One thing that frustrates me to no end is the lack of accommodation for smaller firms,” noted SEC Commissioner Mark T. Uyeda, adding that many at the SEC “don’t have a good grasp of what it means to be a smaller firm.”
April 06, 2023
Investment adviser CCOs are continually preparing for their next SEC examination. Staying on top of the latest trends in exam process and focus can help ensure that their preparations are efficient and effective.
April 06, 2023
Tags: ACA Group, Compliance Conference, Examinations, Peter Driscoll
Marketing Rule Lessons Learned
The compliance date for the new Marketing Rule is now five months in the rear-view mirror. How has the implementation process gone so far, and what questions still need to be resolved?
April 06, 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
Opening Doors Together | Get Involved in Diversifying the Talent Pipeline
At the 2022 Compliance Conference, Ammani Nagesh and Keith Shoates discussed bringing diverse talent and high-performing students into the financial services industry.
March 24, 2022
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