Tag: SEC Examinations
SEC Publishes 2025 Examination Priorities
SEC’s 2025 examination priorities include fiduciary duty, effectiveness of compliance programs, cybersecurity, and artificial intelligence.
October 21, 2024
Tags: Artificial Intelligence , Cybersecurity, Fiduciary, Private Funds, SEC Examinations
SEC Announces National Compliance Outreach Seminar
The SEC is planning a virtual national compliance outreach seminar for investment advisers and investment companies on November 7.
October 03, 2024
Tags: Compliance, SEC Examinations
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
Highlights from SEC Speaks Conference
Senior SEC staff discuss current priorities and initiatives at the SEC Speaks conference.
April 05, 2024
Tags: SEC Enforcement, SEC Examinations, SEC Investment Management
SEC Publishes 2024 Examination Priorities
SEC’s 2024 examination priorities include fiduciary duty, disclosure of material facts relating to conflicts of interest, advertising practices, and more.
October 17, 2023
Tags: Fiduciary, Private Funds, SEC Examinations
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
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
Tags: Libor, SEC Examinations
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
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
Tags: Marketing Rule, SEC Examinations
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
Tags: SEC Enforcement, SEC Examinations, SEC Investment Management, SEC Outreach
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