Tag: Compliance Conference
Aligning ESG Investing and Compliance
Growing assets and increasing complexity mean even greater regulatory scrutiny for advisers managing ESG strategies. At the Compliance Conference, panelists suggested practical tips for overseeing ESG strategies.
March 24, 2022
Tags: Compliance, Compliance Conference, ESG, Proxy Voting
High Tech in High Finance | SEC’s FinHub, Compliance Automation
As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment Adviser Compliance Conference, a breakout session titled Adapting Technology to Achieve Compliance Efficiency...
April 19, 2021
Tags: FinTech, Columns, Compliance Conference
Five Tips for Staying Ahead of Changing Cyber, Privacy Rules
“There is a tremendous amount of activity,” stressed Kirk Nahra of WilmerHale. “We’ve seen almost an annual seismic shift in privacy law. It’s becoming a much more challenging issue.” Kirk...
April 07, 2021
Tags: Privacy, Compliance Conference, Cybersecurity, Takeaways
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...
March 30, 2021
Tags: Columns, Compliance Conference, Examinations, Form CRS, Takeaways
Navigating Regulatory Change in Europe | Four Hot Topics
With Brexit roiling the waters, the regulatory environment in Europe is particularly dynamic at the moment. In the International Developments session at the 2021 IAA Investment Adviser Compliance Conference, speakers...
March 16, 2021
Tags: Compliance Conference, ESG, International
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
Tags: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways
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...
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways
What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...
April 17, 2020
Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways
The CCO in a High Tech World: Insights from the IAA Compliance Conference
The CCO in a High Tech World: Insights from the IAA Compliance Conference July 10, 2020 The challenges of overseeing compliance and risk in an ever-changing technology environment were...
July 10, 2020
Tags: Privacy, Compliance Conference, Cybersecurity, Technology
At IAA Conference, SEC’s Lee Expresses Advertising Rule Concerns, Criticizes Proxy Proposals as “Opposite of Investor Empowerment” Updated March 9, 2020 Watch the Video In her keynote address at...
March 09, 2020
Tags: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule
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