IAA Today Archive

SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.

October 15, 2021

Keywords: FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate

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

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

Keywords: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management

Categories & Topics: Business Ops/HR, ESG, Industry-Level, Proxy Voting, Registered Funds

SEC Issues Interim Updates to Whistleblower Procedures

The SEC adopted amendments to its Whistleblower Program rules in September 2020 that address the criteria for making an award where another agency’s whistleblower program may apply to an action...

August 24, 2021

Keywords: Elad Roisman, Gary Gensler, Hester Peirce, SEC Enforcement

Categories & Topics: Compliance, Whistleblower

Gensler Directs SEC Staff to Review Proxy Advisory Firm Interpretation, Rule

SEC Chair Gary Gensler In a highly anticipated move, SEC Chair Gary Gensler has issued a statement directing the SEC staff to consider whether the SEC should revisit the 2019...

June 02, 2021

Keywords: Elad Roisman, Gary Gensler, Hester Peirce, Proxy, SEC Corporation Finance

Categories & Topics: Business Ops/HR, Proxy Voting

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

SEC Investment Management Seeks Input on Cross Trading Rule Amendments

The SEC’s Division of Investment Management staff is considering amending Investment Company Act Cross Trading Rule 17a-7 and is requesting recommendations for ways to address valuation challenges that have evolved...

March 24, 2021

Keywords: Elad Roisman, Fair Value, Investment Company Act, Valuation

Categories & Topics: Compliance, Valuation

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