IAA Expresses Concerns Over FCA’s Name and Shame Plan
The IAA urges the UK FCA to maintain the confidentiality of investigations until formal administrative or legal action is taken.
February 17, 2025
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The IAA filed a comment letter with the UK Financial Conduct Authority in response to its Consultation Paper: Enforcement Guide and Publicising Enforcement Investigations. While the IAA recognizes the importance of regulatory transparency and understand the rationale behind potentially publicizing investigations, our arguments focus on the potential irreparable harm done to firms by publicizing investigations, a majority of which do not result in a finding of misconduct.
April 30, 2024
IAA Comments on Australian Consultation on Foreign Financial Services Providers Regulation
The IAA recently filed a comment letter with the Australian Government on its August 7, 2023 Draft Bill on potential options for the regulatory regime that will apply to foreign financial services providers (FFSPs) in Australia. The IAA has asked that the Australian Government follow a streamlined approach for FFSPs to permit them to provide services to clients in Australia without having to obtain a license from the Australian Securities & Investments Commission to do so.
September 08, 2023
Relief for Foreign Financial Service Providers – Proposed Legislation for Licensing Exemptions
The IAA supports the Australian Treasury’s proposed exemptions to allow foreign financial service providers to provide services in Australia without having to obtain a license, under certain conditions.
January 11, 2022
Relief to Foreign Financial Service Providers – Consultation Letter
The IAA asked Australian financial regulators to restore and expand prior regulatory relief to allow foreign financial service providers to provide services in Australia without having to obtain a license.
July 29, 2021
Response to European Commission’s Consultation on the Alternative Investment Fund Managers Directive
We responded to an EC consultation on the Alternative Investment Fund Managers Directive (AIFMD) to address issues relating to delegation and ESG. We urged the EC to preserve the well-regulated AIFMD delegation framework and that asset managers should not be required to integrate the assessment of adverse impacts on sustainability factors that are not sustainability risks into the investment decision making process.
January 28, 2021
IAA, Joint Trades Letter to BCBS and IOSCO Urging Suspension of Initial Margin Compliance Dates
The IAA joined other trade associations to submit a letter to BCBS and IOSCO urging them to recommend to global regulators that the compliance dates for initial margin requirements for non-centrally cleared derivatives be suspended due to the impact of the COVID-19 pandemic.
March 25, 2020
Comments on FINRA Proposals on Purchase and Sale of Initial Public Offerings
The IAA recommended that FINRA remove quantitative thresholds in the proposed exemptions for foreign employee retirement benefits plans and foreign investment companies.
August 29, 2019