IAA Today Archive

The IAA recently filed a comment letter with the Australian Government on its Consultation Paper on potential options for the regulatory regime that will apply to foreign financial services providers in Australia.

August 02, 2021

Keywords: International

Categories & Topics: Compliance, Industry-Level, International

UK FCA, IOSCO Issue Consultations on ESG, Focus on Asset Management and Products

The UK Financial Conduct Authority (FCA) has issued a consultation paper on climate-related disclosures for asset managers and investment products. The proposal would require asset managers to provide annual entity-level disclosures consistent with recommendations of the Financial Stability Board’s Task Force on Climate-Related Financial Disclosures (TCFD).

July 11, 2021

Keywords: ESG, International

Categories & Topics: ESG, Industry-Level

UK FCA Proposes to Permit Re-Bundling for Research Under MiFID II Following Similar EU Changes

The UK FCA issued a consultation recently to scale back limits on the use of commissions to pay for research under MiFID II.

May 18, 2021

Keywords: Commissions, European Commission, International, MiFID II, Research

Categories & Topics: Compliance, Industry-Level, International

Navigating Regulatory Change in Europe | Four Hot Topics

U.S. investment advisers with European clients or prospects should pay particular attention to these four issues discussed by panelists at the 2021 IAA Investment Adviser Compliance Conference.

March 16, 2021

Keywords: Compliance Conference, ESG, International

Categories & Topics: Compliance, Industry-Level, International

IOSCO Presses for Globally Consistent Sustainability Disclosure Standards

IOSCO has issued a press release announcing progress made by its Sustainable Finance Task Force and upcoming work with the International Financial Reporting Standards Foundation on sustainability disclosure standards.

March 01, 2021

Keywords: ESG, International

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

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