IAA Today Archive

New Marketing Rule: Initial Exam Expectations

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November 28, 2022

Keywords: Marketing Rule, SEC Examinations

Categories & Topics: Advertising, Compliance, Examinations

Highlights from the SEC’s Outreach Program for Advisers and Funds

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November 17, 2022

Keywords: SEC Enforcement, SEC Examinations, SEC Investment Management, SEC Outreach

Categories & Topics: Advertising, Compliance, Compliance Programs, Examinations

SEC Compliance Outreach Program Scheduled for November 15

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September 22, 2022

Keywords: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations

Categories & Topics: Advertising, Compliance, Compliance Programs, ESG, Industry-Level, Private Funds, Registered Funds

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

Keywords: CCO, Compliance, Private Funds, SEC Enforcement, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Compliance Programs, Enforcement, Examinations, Private Funds

Richard Best Named Director of SEC’s Division of Examinations

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May 25, 2022

Keywords: SEC Appointments, SEC Examinations

Categories & Topics: Compliance, Examinations

SEC Risk Alert Focuses on MNPI and Code of Ethics Compliance Issues

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April 28, 2022

Keywords: Code of Ethics, MNPI, SEC Examinations

Categories & Topics: Codes of Ethics, Compliance, Insider Trading

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

Keywords: BCP, Best Execution, Cybersecurity, Digital Assets, ESG, Examinations, Form CRS, Private Funds, Revenue Sharing, SEC Examinations, Technology, Wrap Fees, Zero Commissions

Categories & Topics: Compliance, Examinations

SEC Staff Identify Private Fund Adviser Deficiencies

The SEC’s Division of Examinations has issued a Risk Alert with additional key observations of deficiencies in exams of private fund advisers.

February 01, 2022

Keywords: Advisory Contracts, Hedge Funds, Private Equity, Private Funds, SEC Examinations

Categories & Topics: Business Ops/HR, Compliance, Examinations, Private Funds