This article highlights the challenges advisers face around the current state of ESG investing and regulation and the considerations of disclosure, data, and portfolio management issues.
August 30, 2023
Your Search Results
Private Fund Adviser Charged for Excessive Fees and Conflict Disclosure
SEC charges private fund adviser for miscalculating and not disclosing fees related to permanent impairment criteria.
July 27, 2023
2023 IAA Regional Compliance Roundtables: Thank You to SEC Speakers and Attendees!
Couldn’t attend the 2023 IAA Regional Compliance Roundtables? Here’s what you missed.
July 20, 2023
IAA Calls for Holistic Review of Rule Proposals
IAA letter calls on the SEC to conduct a holistic and cohesive review of the Outsourcing, Cybersecurity, Safeguarding, Regulation S-P, and the many other rule proposals affecting advisers, as well as for a reasonable and workable implementation timeline.
June 20, 2023
IAA Submits Second Letter Calling for Changes to SEC Outsourcing Proposal
The IAA has submitted a supplemental comment letter calling for substantial changes to the SEC’s service provider oversight, or outsourcing, proposal.
April 20, 2023
First of Two IAA Letters on the SEC’s Outsourcing Proposal Filed
The IAA submitted a comment letter to the SEC reflecting our general views on the recent adviser outsourcing proposal. Our comments were developed with the input of our dedicated member workstream that is focusing on this proposal. We have significant concerns with the proposal and have urged the SEC not to move forward and instead to consider alternative approaches to achieve its goals.
January 02, 2023
Highlights from the SEC’s Outreach Program for Advisers and Funds
Summary of the SEC’s 2022 Investment Adviser/Investment Company National Seminar: Compliance Outreach Program.
November 17, 2022
SEC Proposes Service Provider Oversight Requirements for Investment Advisers
Our initial take: the proposed rules are overly burdensome and prescriptive, fail to recognize how little leverage firms have over many service providers, and provide an unrealistic compliance period.
October 27, 2022