Compliance Conference Archives

Thank You to our 2020 Compliance Conference Speakers!

The IAA would like to thank the industry experts, peers and regulators who spoke at the 2020 IAA Investment Adviser Compliance Conference.

March 10, 2020

Tags: Compliance Conference

SEC Guidance on Reg BI, Form CRS Expected This Month, More to Follow Conflicts of Interest Disclosure Around Fees a Top Enforcement Priority

The SEC hopes to issue guidance on Regulation Best Interest and Form CRS later this month, OCIE Director Peter Driscoll told attendees at the IAA’s 2020 Investment Adviser Compliance Conference.

March 09, 2020

Tags: OCIE, Compliance Conference, Peter Driscoll, SEC Enforcement, Steven Peikin

At IAA Conference, SEC’s Lee Expresses Advertising Rule Concerns, Criticizes Proxy Proposals as “Opposite of Investor Empowerment”

Lee said that while she broadly supports the agency’s proposed modernization of the Advertising Rule, she is concerned that some elements of the proposal may be too vague and could lead to uncertainty among compliance professionals.

March 09, 2020

Tags: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule

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