Compliance Conference Archives

A Practical Perspective on AI

Artificial intelligence is the talk of the investment town, but investment advisers are struggling to understand exactly how AI will impact their businesses and how they can best manage its risks.

May 14, 2024

Tags: AI, Artificial Intelligence , Compliance Conference

Pushback on Aggressive SEC Agenda

In a panel at the 2024 IAA Investment Adviser Compliance Conference, industry experts provided insights on how trends in Washington will affect investment advisers.

April 11, 2024

Tags: Advocacy, Compliance Conference, ESG, Inside the Beltway

Successful IAA Compliance Conference Sees Spirited Discussions, Record Attendance

More than 600 investment advisory industry professionals convened at the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.

March 14, 2024

Tags: Compliance Conference, Gary Gensler, Karen Barr, SEC Examinations

“Why Don’t We Just Cut Them a Break?” | Focus on Smaller Advisers

“One thing that frustrates me to no end is the lack of accommodation for smaller firms,” noted SEC Commissioner Mark T. Uyeda, adding that many at the SEC “don’t have a good grasp of what it means to be a smaller firm.”

April 06, 2023

Tags: Compliance Conference, Mark Uyeda, Smaller Advisers

Trends in SEC Examinations

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

Marketing Rule Lessons Learned

The compliance date for the new Marketing Rule is now five months in the rear-view mirror. How has the implementation process gone so far, and what questions still need to be resolved?

April 06, 2023

Tags: Compliance Conference, Marketing Rule

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

Tags: Compliance Conference, Cybersecurity, Marketing Rule, SEC, SEC Enforcement, SEC Examinations, Smaller Advisers

Opening Doors Together | Get Involved in Diversifying the Talent Pipeline

At the 2022 Compliance Conference, Ammani Nagesh and Keith Shoates discussed bringing diverse talent and high-performing students into the financial services industry.

March 24, 2022

Tags: Compliance Conference, Diversity & Inclusion

Aligning ESG Investing and Compliance

Growing assets and increasing complexity mean even greater regulatory scrutiny for advisers managing ESG strategies. At the Compliance Conference, panelists suggested practical tips for overseeing ESG strategies.

March 24, 2022

Tags: Compliance, Compliance Conference, ESG, Proxy Voting

High Tech in High Finance | SEC’s FinHub, Compliance Automation

High Tech in High Finance | SEC’s FinHub, Compliance Automation April 19,2021 As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment...

April 19, 2021

Tags: FinTech, Columns, Compliance Conference

1 2 Next »

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL

IAA Today

You are now leaving Investment Adviser Association