SEC

SEC Chairman Jay Clayton Notes Increase in Adviser Exams and Commitment to Expanding Technology

On June 27, 2017, U.S. Securities and Exchange Commission ("SEC") Chairman Jay Clayton presented testimony on the Fiscal Year 2018 Budget Request. During Chairman Clayton’s testimony, he emphasized the SEC’s commitment to protecting the investing public, maintaining fair markets, and facilitating capital formation.

SEC to begin examining Exempt Reporting Advisers

Last Friday, Marc Wyatt, Director of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, stated that the SEC staff has begun to examine Exempt Reporting Advisers as a part of the agency’s routine examination program. Mr. Wyatt made these remarks while speaking to the American Bar Association’s Hedge Fund Sub-Committee during the association’s Business Law Section Fall Meeting in Washington, D.C.

Regulatory Horizon 2016 in London

We are delighted to announce our industry-renown event, Regulatory Horizon, now in its fifth year, is open for registration. As with previous years, the event has been designed to help attendees get an ‘all-in-one-place’ overview of the main UK, European and U.S. regulatory issues now and on the horizon as we move into 2016.

Investment Manager Compliance, Enforcement, and Examination Roundtable

Please join us on Thursday, November 5, 2015, to hear about the latest SEC examination and enforcement approaches and priorities concerning investment managers. Speakers include Paul Levenson, director of the SEC’s Boston Regional Office, and Kevin Kelcourse, SEC associate director for the Office of Compliance Inspections and Examinations in Boston. 

In addition, a panel including senior legal and compliance personnel will discuss key compliance topics including expert networks, expense allocation, managing conflicts, and cybersecurity.

IAA Boston Compliance Workshop

This Compliance Workshop will address important topics for SEC-registered investment advisers, including: Regulatory Update, Compensation and Fee Issues, Risk Management, Technology Issues, and Advertising. Speakers will include IAA legal staff and attorneys from nationally recognized law firms. The workshop will include a networking luncheon where attendees can share ideas about other compliance issues.