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Summary Report: 2023 Investment Management Compliance Testing Survey

For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.

July 13, 2023

Keywords: Best Execution, Climate, Communications, Compliance Testing Survey, Data Privacy, ESG, Exams, Fees and Expenses, Marketing Rule, Personal Devices, Proxy Voting, Regulatory Compliance, Third Party Oversight

Categories & Topics: Compliance, Industry Trends, Industry-Level

Comments on the European Commission’s Consultation on Duties Regarding Sustainability

The IAA raised concerns that requiring asset managers to consider a particular set of sustainability factors when making investment decisions may dilute fiduciary principles and may run counter to the European Commission’s goals of efficient allocation of capital and sustainable and inclusive growth.

January 22, 2018

Keywords: ESG, European Commission

Categories & Topics: Compliance, ESG, Industry-Level, International

Legal Context of Defined Contribution Plan for Fiduciaries

One of the core responsibilities of defined contribution plan fiduciaries is selecting the investment options that will be available to participants in the plan. This paper summarizes the principles governing the exercise of that responsibility in 50 years of law, regulation, regulatory guidance, and court decisions.

December 13, 2022

Keywords: Due Diligence, ERISA, ESG, Fiduciary

Categories & Topics: Compliance, ERISA & Pension Plans, Fiduciary

Comments on SEC Proposal to Enhance ESG Disclosures for Investment Advisers and Funds

The IAA strongly supports the view that investment advisers and funds should clearly articulate their investment strategies, including ESG strategies, so that investors understand the investment adviser’s philosophy and can make informed investment decisions. While we are generally supportive of the SEC’s proposal to move forward with specific ESG disclosure requirements, we have concerns about its broad scope, which we believe could obscure rather than clarify salient information for investors.

August 16, 2022

Keywords: ESG, SEC

Categories & Topics: ESG, Industry-Level

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