SEC Commissioner Aguilar Speaks on Compliance

April 18, 2013

SEC Commissioner Luis Aguilar spoke at the Regulation, Operations & Compliance (ROC) 2013 conference in New York, which was sponsored by the Regulatory Compliance Association. After noting the growth of the adviser industry, he spoke about the importance of a culture of compliance at an investment adviser. He stated that a firm’s senior leadership must be visible and vocal advocates for a strong culture of compliance. He also spoke about recent insider trading cases brought against investment advisers and their personnel, conflicts of interests and valuation issues. Commissioner Aguilar concluded his speech by reviewing recent efforts by the SEC to oversee investment advisers.

Click here to access his speech.


Investment Advisers, Investment Companies, Speeches & Testimony