IAA Today Archive

SEC Compliance Outreach Program Scheduled for November 15

The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.

September 22, 2022

Keywords: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations

Categories & Topics: Advertising, Compliance, Compliance Programs, ESG, Industry-Level, Private Funds, Registered Funds

2022 IAA Policy Outlook: Changes Ahead, Changes Behind

IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.

January 10, 2022

Keywords: Fiduciary, Form CRS, From the President & CEO, IAA Policy, Karen Barr, Proxy Voting, Sustainable Investing

Categories & Topics: Business Ops/HR, Compliance, Form ADV & CRS, Industry Trends, Industry-Level, Proxy Voting, Reporting

Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce

The European “merit regulation” on ESG is not a model for the United States, suggested SEC Commissioner Hester Peirce, in her keynote conversation with IAA President & CEO Karen Barr at the 2021 IAA Investment Adviser Compliance Conference.

March 09, 2021

Keywords: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways

Categories & Topics: ESG, Industry-Level

Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement

Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of the SEC’s Division of Examinations, in a conversation with IAA General Counsel Gail Bernstein at the 2021 IAA Investment Adviser Compliance Conference.

March 09, 2021

Keywords: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways

Categories & Topics: Compliance, ESG, Examinations, Industry-Level

Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review

Jay Clayton returned to the venue of his first speech as Chairman to review the SEC’s accomplishments over the last “three-plus years.”

November 24, 2020

Keywords: Accredited Investor, Form CRS, Jay Clayton

Categories & Topics: Form ADV & CRS, Industry Trends, Industry-Level, Reporting

2020 Policy Outlook: Looking Ahead Requires Looking Back

The IAA is proud to have advanced the interests of the investment adviser community in 2019 – with the strong support and involvement of our members.

January 01, 2020

Keywords:  Privacy, Columns, Form CRS, From the President & CEO, Karen Barr, Proxy, Proxy Voting, Reg BI

Categories & Topics: Industry Trends, Industry-Level