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
Your Search Results
SEC Issues Risk Alert with Exam Observations Related to LIBOR Transition
The Risk Alert describes examination observations of transition away from LIBOR by the asset management industry.
May 19, 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
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
Highlights from the SEC’s Outreach Program for Advisers and Funds
Summary of the SEC’s 2022 Investment Adviser/Investment Company National Seminar: Compliance Outreach Program.
November 17, 2022
SEC Compliance Outreach Program Scheduled for November 15
We’re sorry – you must be a member to view this content. Please log in.
September 22, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
Richard Best Named Director of SEC’s Division of Examinations
We’re sorry – you must be a member to view this content. Please log in.
May 25, 2022