Last week, two of our teammates attended the 2022 IAA Investment Adviser Compliance Conference, talking with experts and attending key sessions. For those of you who also attended, hi again! For those who didn’t, we’ve captured the top 5 takeaways that spurred conversations and seemed to capture the collective audience of the attendees.
Top 5 Takeaways
Ready to talk takeaways? Let the countdown begin.
It’s not exactly a trade secret that cybersecurity has been on the SEC’s radar for some time now. In fact, they recently released a new rule proposal looking to enhance cyber risk management.
But with a risk that only seems to keep evolving, and hacker’s that seem one step ahead, the question becomes: how can we expect the unexpected? While cybersecurity remains an evolving risk, organizations who prioritize their cyber health remain ahead of the curve, mitigating potential risks and side effects down the line.
Learn more about the SEC’s cybersecurity rule proposal here: https://www.riainabox.com/blog/sec-rule-proposal-for-cybersecurity-risk-management
2. The Marketing Rule
Although this is exactly new news, the approaching adoption deadline for marketing rule (in its entirety remember) has reenergized talks around what to expect and how to prepare.
Need a refresh on the requirements? Check out NRS’ upcoming education session on all things Marketing Rule: https://www.nrs-inc.com/events/countdown-to-the-new-IA-marketing-rules/2022-05-17/
3. Annual Reviews
Annual reviews can often become an annual headache, especially as rules and regulations only continue to evolve, becoming more complex with heightened requirements from your firm. Understanding how to best perform your annual review – achieving sufficient and efficient results – sets your firm up for the year ahead.
Discover the ins and outs of a successful annual review here: https://www.complysci.com/annual-review/
4. SEC Exams
When it comes to SEC exams, it’s easy to let stress get the best of you. Especially given the upheaval caused by the COVID environment. What’s the best way to prepare? Staying up to date.
Register today for the NRS education session covering SEC examination and enforcement updates: https://www.nrs-inc.com/event/sec-examination-and-enforcement-update-for-investment-advisers/2022-07-22/
Three letters have never carried such significance. Staying on top of this evolving trends means understanding the scope of ESG and the compliance impact. Need to study up?
Read our piece covering ESG and all things SEC priority: https://www.complysci.com/sec-agenda-insider-trading/
Ready to transform these takeaways into tactical strategies for your compliance program? Schedule a demo today!