IAA Today Archive

AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach

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November 04, 2021

Keywords: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr

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

SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology

SEC’s AMAC Tackles Diversity and ESG, Explores Retail Access to Private Investments, Advisers’ Use of Technology July 12, 2021   In a lengthy open meeting on July 7, the SEC’s...

July 12, 2021

Keywords: AMAC, Diversity & Inclusion, ESG, Private Offerings, Technology

Categories & Topics: Business Ops/HR, Compliance, ESG, FinTech & Digital, Industry-Level, Private Funds

SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds

The SEC’s Asset Management Advisory Committee’s (AMAC’s) March meeting covered several topics that are high on the SEC’s policy agenda – ESG, diversity and inclusion, and private investments – and...

April 02, 2021

Keywords: Allison Herren Lee, AMAC, Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, ESG, Evolution Revolution, Hester Peirce, Private Funds

Categories & Topics: Business Ops/HR, Diversity & Inclusion, ESG, Industry Trends, Industry-Level, Private Funds

AMAC Discusses Private Funds, ESG, and Diversity and Inclusion

The SEC’s Asset Management Advisory Committee’s (AMAC’s) December meeting focused on private funds, ESG, and diversity and inclusion. The AMAC’s Private Investments and ESG subcommittees provided updates on their progress...

December 09, 2020

Keywords: AMAC, Diversity & Inclusion, ESG, Pay-to-Play, Private Funds

Categories & Topics: Business Ops/HR, Compliance, Diversity & Inclusion, Pay to Play, Private Funds

SEC’s AMAC Recommends Switch to E-Delivery Default, More to Address Operational Issues Relating to COVID-19

The SEC’s Asset Management Advisory Committee (AMAC) has made preliminary recommendations to address COVID-19-related operational issues, including electronic delivery, remote work, e-authorization, and dematerialization. The AMAC was formed to provide...

November 10, 2020

Keywords: AMAC, Compliance, Coronavirus, COVID-19, E-Delivery, Electronic Delivery

Categories & Topics: Compliance, Electronic Delivery

AMAC Discusses ESG, Private Funds, Diversity and Inclusion, COVID-19 Impact

The SEC’s Asset Management Advisory Committee (AMAC) held a meeting on September 16. In his opening remarks, SEC Chairman Jay Clayton discussed his interest in promoting access and choice for Main...

September 24, 2020

Keywords: AMAC, Coronavirus, COVID-19, Diversity & Inclusion, ESG, Private Funds

Categories & Topics: Business Ops/HR, Diversity & Inclusion, ESG, Industry-Level, Private Funds

IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets

Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division. She...

August 11, 2020

Keywords: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Compliance, Electronic Delivery, Private Funds

SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology

SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology July 23, 2020   The SEC’s Asset Management Advisory Committee held a special...

July 23, 2020

Keywords:  FinTech,  Privacy, AMAC, Dalia Blass, Diversity & Inclusion, Elad Roisman, Jay Clayton

Categories & Topics: Business Ops/HR, Compliance, Cybersecurity/Privacy, Diversity & Inclusion, FinTech & Digital