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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

IAA Calls on SEC to Address Adviser Use of Digital Engagement and Tech to Provide Advice Within Advisers Act Fiduciary Framework

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October 12, 2021

Keywords: Digital Advice, Robo, Technology

Categories & Topics: Compliance, FinTech & Digital

SEC Requests Comment on Adviser Digital Engagement Practices

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September 03, 2021

Keywords: Digital Advice, Robo, Technology

Categories & Topics: Compliance, FinTech & Digital

SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology

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July 12, 2021

Keywords: AMAC, Diversity & Inclusion, ESG, Private Offerings, Technology

Categories & Topics: Business Ops/HR, Compliance, ESG, FinTech & Digital, Industry-Level, Private Funds

Defense Spending Bill Establishes Artificial Intelligence Initiative

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January 25, 2021

Keywords: AI, Artificial Intelligence , Blockchain, Technology

Categories & Topics: Compliance, FinTech & Digital

IT Pros Discuss Top Five Tech Priorities

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December 09, 2020

Keywords: Business Operations, Columns, Leadership Conference, Takeaways, Technology

Categories & Topics: Account Operations, Compliance, Cybersecurity/Privacy, Industry Trends, Industry-Level, Operations

Maximizing the Benefits of Compliance Technology

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July 10, 2020

Keywords: FinTech, Columns, Compliance, Guest Column, Technology

Categories & Topics: Compliance, Cybersecurity/Privacy, FinTech & Digital

The CCO in a High Tech World: Insights from the IAA Compliance Conference

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July 10, 2020

Keywords: Privacy, Compliance Conference, Cybersecurity, Technology

Categories & Topics: Compliance, Cybersecurity/Privacy, FinTech & Digital

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