IAA Submits Additional Comments on SEC’s Safeguarding Proposal
The IAA submitted a comment letter urging the SEC to make additional changes to its proposed rule relating to the safeguarding of advisory client assets.
October 30, 2023
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Letter to Senate Appropriations Subcommittee on the SEC FY2024 Budget
The IAA submitted a letter to the Senate Appropriations Subcommittee on Financial Services and General Government on the SEC’s FY 2024 budget request and to thank the Subcommittee for its support of providing $2.4 billion to the agency.
July 25, 2023
IAA Supports SEC Proposal on Protection of Client Information with Recommended Changes
The IAA supports the SEC’s proposal to amend the rules governing the protection of clients’ non-public personal information (PII), subject to certain recommendations that we believe would further the SEC’s objectives while more effectively protecting investors and streamlining unnecessary operational and compliance burdens on advisers.
June 05, 2023
IAA Letter to SEC on Safeguarding Advisory Client Assets Proposal
IAA comment letter urging the SEC to make substantial changes to its proposed rule relating to the Safeguarding of Advisory Client Assets.
May 08, 2023
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
ESG Regulatory Frameworks for Pension Systems: Developments and Risks Relating to ESG
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July 19, 2022
Comments on SEC Proposal to Enhance and Standardize Climate-Related Disclosures for Investors
We generally support the SEC’s proposal to require disclosure of material information about climate-related financial risks and climate-related financial metrics and provide recommendations that we believe will further the SEC’s objectives. Having consistent, comparable, and reliable disclosures of material information from public issuers, including disclosures related to climate-related matters, would help investment advisers make informed decisions on behalf of their clients.
June 17, 2022
Comments on Proposed Cybersecurity Rules for Advisers
We recommend changes to proposed cybersecurity rules that would require investment advisers to adopt and implement written cybersecurity policies and procedures with specified elements, report significant adviser cybersecurity incidents to the Commission, disclose significant adviser cybersecurity risks and incidents to clients, and maintain related books and records.
April 11, 2022