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Comments on the SEC Derivatives and Sales Practice Rules

The IAA generally supported the proposed derivatives rule, with certain modifications to reduce unnecessary burdens on advisers. The IAA strongly opposed the proposed sales practice rule for investment advisers related to retail investor transactions in leveraged/inverse investment vehicles because it is both duplicative of and inconsistent with the principles-based approach to fiduciary duty.

April 30, 2020

Keywords: Derivatives, fiduciary duty), Investment Company Act

Categories & Topics: Compliance, Fiduciary, Registered Funds

IAA, Joint Comment Letter to EU Securities Regulators on Deferral of Uncleared Swap Variation Margin Requirements

The IAA joined other trade associations to submit a letter to European regulators expressing their concerns regarding the application of regulatory technical standards that are forcing the collateralization of physically settled foreign exchange derivative contracts.

October 03, 2017

Keywords: Derivatives, European Commission, International

Categories & Topics: Compliance, International

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