Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon
Federal agencies issue Spring 2022 Reg Flex agendas; Custody Rule expected in near term, FTC premerger notification rule and anti-money laundering for advisers on the agenda.
June 27, 2022
SEC Proposes ESG Disclosures for Advisers, Amendments to Fund Names Rule
SEC issues proposed ESG disclosure requirements for advisers and funds and amendments to Fund Names Rule, signals strong enforcement of ESG disclosures.
May 26, 2022
SEC Responds to Commenter Requests, Extends and Reopens Deadlines
Following advocacy from the IAA and others, the SEC has extended comment period for ESG proposal and re-opened comment period for private fund adviser proposal.
May 11, 2022
The IAA Joins Amicus Brief in Support of Nasdaq’s Board Diversity Rule
The IAA has signed on to a joint amicus brief in support of board diversity rules for Nasdaq-listed companies.
March 10, 2022
Biden Climate Financial Roadmap Discusses SEC and DOL ESG Proposals
A new Biden Administration report lays out "a roadmap for measuring, disclosing, managing, and mitigating climate-related financial risk across the economy” and follows an executive order regarding financial risk and climate change policy.
October 20, 2021
DOL Proposal Would Allow Fiduciaries to Consider ESG When Selecting Plan Investments
Retirement plan fiduciaries will be permitted to consider climate change/ESG factors when selecting plan investments and voting proxies under a new proposal by the Department of Labor.
October 18, 2021
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
In a lengthy open meeting on July 7, the SEC’s Asset Management Advisory Committee adopted subcommittee recommendations on diversity and inclusion (DEI) and ESG, considered an interim report from the Subcommittee on Private Investments, and heard presentations on technology-enabled personalization in the provision of investment advice.
July 12, 2021
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
