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The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery
Gail Bernstein IAA General Counsel The COVID-19 pandemic has proven to be a great disruptor, requiring advisory firms to make a wide range of unanticipated operational changes. The biggest include...
September 22, 2020
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division. She...
August 11, 2020
SEC Investment Management Director Blass Discusses Regulating for the Future
Using money market funds and exchange-traded funds (ETFs) as case studies, the SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking...
October 05, 2020
The SEC’s Asset Management Advisory Committee (AMAC) has made preliminary recommendations to address COVID-19-related operational issues, including electronic delivery, remote work, e-authorization, and dematerialization. The AMAC was formed to provide...
November 10, 2020
IAA, Other Industry Groups Call for Modernized E-Delivery Framework
The IAA, along with several other industry trade groups, has issued a discussion paper urging the SEC to update its regulations to establish electronic delivery as the primary means for...
September 23, 2020
SEC Amends Rules to Facilitate Electronic Submission of Filings
In a move strongly supported by the IAA, the SEC has taken two further actions acknowledging the widespread use of electronic signatures (e-signatures) and related technological developments, as well as...
November 18, 2020
IAA, Joint Trades Letter to OMB Supporting DOL’s Default Electronic Disclosure Rule
The IAA joined other trade associations to submit a letter to the Office of Management and Budget strongly supporting the DOL’s proposed rule that would expand the use of electronic delivery for retirement plan disclosures and notices while also preserving the option to receive paper delivery of those documents.
May 01, 2020
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