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I’m joining the Investment Adviser Association for a fireside chat shortly.
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#IAAComCon
🗓️March 8, 2024 at 9:30am ET 🗓️
I look forward to joining the Investment Adviser Association for a fireside chat next week.
Details: https://t.co/Sz3W5UJIDG
#IAAComCon
With #IAAComCon registration open, now is the perfect time to check out IAA Access – the easiest way to view and reserve sponsor and exhibitor opportunities that match your company's needs. https://t.co/KYGJO1MDSw
Two days. 25 sessions to choose from on crucial topics for advisers. And hundreds of your industry colleagues. Join us for the 2024 IAA #InvestmentAdviser Compliance Conference, March 6-8. Registration is now open! #IAAComCon
https://t.co/ltVjVFmFfU
#Cybersecurity is on the SEC’s mind. Not only is cyber risk management a rulemaking priority, but information security/operational resiliency is a 2023 priority for the Division of Examinations. Here are tips from #IAAComCon on becoming cyber-prepared: https://t.co/KFqGW6MOrr
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? Here's what we learned at #IAAComCon: https://t.co/gDPSO1QOzl
“One thing that frustrates me to no end is the lack of accommodation for smaller firms,” noted SEC Commissioner Mark T. Uyeda at #IAAComCon, adding that many at the SEC “don’t have a good grasp of what it means to be a smaller firm.” Read more: https://t.co/RhYzS41wxP
While it’s nearly impossible to summarize all the great information shared during this jam-packed 2-day event, we managed to put together our top three takeaways from the @IAA_Today Compliance Conference. Read the details here: https://t.co/H24r3Xjm4v
"Even at large firms, the people implementing some of these rules are the same people implementing all of them... Regulation does not exist in a vacuum," said the @IAA_Today's Karen Barr in a chat with SEC Commissioner Mark Uyeda this week. #IAAComCon
https://t.co/2jA1ZaO7tb
That's a wrap! Thank you to everyone who made this year's #IAAComCon a success. We're looking forward to seeing you again next year. In the meantime, keep an eye on your email for conference evaluations and information about CE.
At #IAAComCon, Ethics panelists discussed best practices relating to expert networks, shadow trading, and material non-public information.
Large advisory firms discussed their risk-based outsourcing programs; question need for overbroad outsourcing rule given existing fiduciary obligations at #IAAComCon.
Oversight of third-party service providers should include risk rating the providers, due diligence, initial and ongoing monitoring, recordkeeping, and disclosure, IAA panelists discussed at #IAAComCon
Panelists at the #IAAComCon smaller adviser outsourcing panel discussed how small advisers can subject their service providers to appropriate due diligence and monitoring.
During the digital assets panel at #IAAComCon, panelists discussed how the @SECGov's newly proposed custody rule will impact the crypto-asset industry. #crypto
In the #IAAComCon Exams & Enforcement session, Corey Schuster discussed some of the factors considered when taking referrals from exams, including type of violation, harm to clients, remediation, and recidivism.
At the #IAAComCon Exams & Enforcement session, Natasha Vij Greiner noted that exam staff is coming back to the office soon and will conduct both on-site & correspondence exams going forward. And, they are likely to cite deficiencies relating to staff FAQ on net performance.
Panelists at #IAAComCon discuss challenges to advertising performance following FAQ under SEC’s new Marketing Rule.
MNPI and Insider Trading panelists discussed practices to protect advisory firms by tailoring policies and procedures, diligence, and contract terms related to engaging with expert networks and alternative data providers. #IAAComCon
At #IAAComCon, Compliance Testing and Use of Technology panelists discussed the importance of oversight of service providers, ensuring testing is applicable to remote work, and including e-comms in recordkeeping.
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