IAA Opposes SEC Predictive Data Analytics Proposal
The IAA submitted a comment letter to the SEC requesting that the agency withdraw its proposed rules regarding potential conflicts of interest associated with the use of predictive data analytics and other technologies by advisers in investor interactions.
October 10, 2023
SEC Proposes Rules on Advisers’ Use of Technology
On Wednesday, the SEC proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
July 27, 2023
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
SEC Staff Issues Bulletin Regarding Adviser and Broker-Dealer Conflicts of Interest
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August 04, 2022
Recent SEC Share Class Case Focuses on Wrap Fee Program
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July 29, 2022
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June 20, 2022
SEC Brings Share Class Selection Enforcement Action Involving Wrap Fee Accounts
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May 13, 2022
Gensler Says SEC Considering New Rulemakings for Private Fund Advisers
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November 22, 2021
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