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CCS’s Scavetti Reports on IAA Compliance Conference  

Joe Scavetti of Cipperman Compliance Services recently attended the Investment Adviser Association Compliance Conference in Washington.  The conference brings together senior regulatory officials and compliance professionals to address cutting-edge regulatory issues.  Linked below is a more detailed summary of the meeting prepared by Joe, who would be happy to discuss with you in more detail.  SEC Commissioner Hester Peirce, the conference headliner, spoke at length about the SEC’s regulatory agenda including the prospect of an SEC conduct rule.  SEC officials Peter Driscoll, Director of OCIE, and Stephanie Avakian, Co-Director of Division of Enforcement, also participated, offering their views on examination and enforcement priorities.  Over the course of 2 days, several panels addressed issues such as mutual funds, cybersecurity, vendor management, advertising, Form ADV, custody, and SEC exams.

IAA Compliance Conference Report 2018