AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
The SEC's Asset Management Advisory Committee (AMAC) is recommending that the SEC address the IAA's calls for relief for smaller investment advisors through tailored regulation and assessment of the cumulative impact of regulation on small firms.
November 04, 2021
SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA
In a policy win for the IAA, the SEC has adopted a new “fund of funds” rule that does not include a proposed redemption limitation on a fund that acquires an ownership interest in another fund.
October 08, 2020
IAA Urges the DOL to Withdraw Proxy Proposal
Saying the Department of Labor’s proposed ERISA proxy amendments “would substantially increase costs for plans and fiduciaries without providing measurable benefits to participants and beneficiaries,” the IAA is urging the DOL to withdraw those proposed amendments.
October 07, 2020
The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery
The COVID-19 pandemic has proven to be a great disruptor, requiring advisory firms to make a wide range of unanticipated operational changes.
September 22, 2020
New Case Shows Revenue Sharing a Top SEC Target
A recent SEC complaint serves as yet another reminder to investment advisers about their obligations regarding the receipt and disclosure of revenue from third parties.
September 01, 2019
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