IAA Submits Second Supplemental Letter on Outsourcing Proposal
The IAA has submitted a second supplemental comment letter calling for changes to the SEC’s service provider oversight, or outsourcing, proposal.
October 13, 2023
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IAA Comment Letter to SEC Regarding Adviser Proposals
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
June 17, 2023
IAA Submits Supplemental Letter on Outsourcing Proposal
The IAA has submitted a supplemental comment letter calling for substantial changes to the SEC’s service provider oversight, or outsourcing, proposal.
April 20, 2023
This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
IAA Letter to SEC on Service Provider Outsourcing
The IAA submitted a comment letter to the SEC reflecting our general views on the recent adviser outsourcing proposal. Our comments were developed with the input of our dedicated member workstream that is focusing on this proposal. We have significant concerns with the proposal and have urged the Commission not to move forward and instead to consider alternative approaches to achieve its goals.
December 23, 2022
This article highlights the challenges advisers face around the current state of ESG investing and regulation and the considerations of disclosure, data, and portfolio management issues.
August 30, 2023
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
June 02, 2022
Electronic Communications Conundrum: Risks vs. Regulatory Obligations
16 steps to take in light of the SEC's enforcement case for supervisory and recordkeeping failures stemming from the use of personal devices for business communications.
February 18, 2022