Events

The SEC’s new Cybersecurity Risk Management Rule (the “Cyber Rule”) reshapes the cybersecurity compliance landscape as it had heretofore existed. Investment Managers will need to meet new standards both technologically and operationally in ways that will upend each manager’s current governance and compliance functions. In this webinar, our panel will include subject matter experts in [...]

Methods, New Rules, Exam Priorities, Ongoing Sweeps, Mock SEC Exams and Proactive Exam Preparation

Scope of the rule: which advisers and what information is covered? Developing policies to comply with the new rule Breach notification requirements – timing and coordination Service provider oversight – due diligence, monitoring, and reporting incidents Recordkeeping requirements Timing and contents of the breach notice Upcoming compliance deadlines

Join us to hear from experienced industry professionals as they discuss regulatory expectations and share practical tips to implement a proactive due diligence program! The panel will tackle topics covering: Developing and implementing a customized due diligence program, including adopting policies and procedures to comply with Reg S-P and other firm obligations Assess risks associated [...]

Join us to hear from experienced industry professionals as they discuss SEC trends and focus areas. The panel will tackle topics covering: What’s new in document requests Current topics and exam priorities Reading the tealeaves from deficiencies Guidance from enforcement actions For registered investment advisers, investment companies, broker-dealers, and transfer agents.

Join us as we hear from experienced industry professionals who discuss AI compliance and security considerations. The panel will tackle topics covering: AI use cases for financial services SEC examination priorities and regulatory expectations Business and legal risks Evaluation of vendor risks Important implementation considerations for leveraging Copilot within your firm

Join us as we hear from experienced industry professionals who discuss preparing Form ADV, Part 2A, CRS and 2Bs. The panel will tackle topics covering Form ADV and CRS Amendment tips and important disclosure considerations.

One of the biggest challenges for CCOs is to keep the annual review process fresh, ensuring that the review remains relevant. Business changes, emerging risks, new rules and SEC exam and enforcement priorities demand that the annual review process continuously evolve. In this panel, industry experts will share tips and strategies for invigorating? and advancing [...]

Join us to hear from experienced industry professionals as they discuss common SEC Exam deficiencies! The panel will tackle topics covering: Common SEC Exam Deficiencies The Shifting Landscape of SEC Exams –SEC exam priorities have evolved over the past year, including the most common focus areas and unexpected trends firms should prepare for. Marketing Rule Missteps – [...]

Join us to hear from experienced industry professionals! The panel will tackle topics covering: What ERAs Need to Know in 2025 (and Why AML is on the Radar) Understanding Regulatory Requirements Applicable to ERAs – It’s much more than you think!  AUM thresholds, applicable rules State ERA Considerations Maintaining Compliance as an ERA – Best practices, managing risk, [...]

Join the IAA and Salus GRC for a webinar to help advisers navigate evolving regulatory expectations and cybersecurity requirements for investment advisers. We’ll cover key trends, challenges, and strategies that will help strengthen your compliance and cyber programs. Expectations under the new administration: how regulatory priorities are shifting What does the amended Reg S-P rule [...]

Join us to hear from experienced industry professionals! The panel will tackle topics covering: What this means when the SEC is to reduce Enforcement staff back to 2010 levels What this means for Investment Advisers as examinations continue Strong compliance and first impressions still matter Essential Strategies for SEC Exam Day-One Presentations in this environment: [...]