Tag: Examinations
2023 IAA Compliance Workshops Takeaways – Off-Channel Communications, AI
A big thank you to everyone who helped make the 2023 IAA Compliance Workshops a success. If you didn't make it to a Compliance Workshop this year, here's what you missed.
November 16, 2023
Tags: Compliance Workshops, Examinations
SEC Risk Alert on Selecting and Scoping Adviser Examinations
SEC staff has published a Risk Alert on how the SEC selects advisers to examine and determines the scope of risk areas to examine.
September 07, 2023
Tags: Examinations, Risk Alert
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
SEC Publishes 2023 Examination Priorities
The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
February 09, 2023
Tags: FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds
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
SEC Publishes Examination Priorities for 2022
The SEC’s Division of Examinations has issued its examination priorities for 2022, which are in line with recent regulatory initiatives and rulemakings directed at advisers.
April 01, 2022
Tags: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions
The SEC’s Spotlight on ESG – Is Your Firm Ready to Shine?
The past year has seen a significant increase in the U.S. Securities and Exchange Commission’s (SEC’s) focus on environmental, social, and governance (ESG) issues.
June 30, 2021
Tags: ESG, Examinations, SEC
SEC Risk Alert Outlines ESG Exam Focus Areas, Related Deficiencies, Effective Compliance Practices
The SEC’s Division of Examinations has issued a Risk Alert describing areas of focus in examinations of advisers and funds engaging in ESG investing, compliance deficiencies and weaknesses from recent examinations in this area, and examples of effective compliance practices.
April 12, 2021
Tags: ESG, Examinations
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 examination.
March 30, 2021
Tags: Columns, Compliance Conference, Examinations, Form CRS, Takeaways
Division Director Peter Driscoll addressed the enhanced focus on climate risks and ESG-related issues in remarks at the IAA’s Investment Adviser Compliance Conference.
March 05, 2021
Tags: Compliance, Examinations
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