IAA Today Archive

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

Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce Commissioner Questions Agency’s Recent ESG, Climate Initiatives March 9, 2021 The European “merit regulation” on ESG is not...

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, ESG Disclosure are Priorities for SEC Exams, Enforcement March 9, 2021 Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of...

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

Accurately Measuring the Success Rate of Active Funds

Accurately Measuring the Success Rate of Active Funds January 26, 2021   Any assessment of the value of active management starts with a measurement of its success in generating returns...

January 26, 2021

Keywords: Active Management, Active Managers Council , Columns, Takeaways

Categories & Topics: Active/Passive, Industry-Level

Getting Proactive on ESG: Five Tips for Advisers

Getting Proactive on ESG: Five Tips for Advisers January 5, 2021 Environmental, social, and governance: three factors that have become the focus of attention in the investment world. But where...

January 05, 2021

Keywords: Active Managers Council , Columns, ESG, Takeaways

Categories & Topics: Account Operations, ESG, Industry-Level, Portfolio Management

IT Pros Discuss Top Five Tech Priorities

IT Pros Discuss Top Five Tech Priorities December 9, 2020 Investment technology is an increasingly important part of both the value proposition and the cost equation for an asset management...

December 09, 2020

Keywords: Business Operations, Columns, Leadership Conference, Takeaways, Technology

Categories & Topics: Account Operations, Compliance, Cybersecurity/Privacy, Industry Trends, Industry-Level, Operations

The Washington Year in Preview: What’s Ahead for Legislation and Regulation

The Washington Year in Preview: What’s Ahead for Legislation and Regulation Elections. Taxes. Economic Stimulus. Diversity & Inclusion. Fiduciary Standards. ESG. More. October 16, 2020 Reading the tea leaves in...

October 16, 2020

Keywords: Advocacy, Takeaways, Taxes

Categories & Topics: Account Operations, Congress, Industry-Level, Tax

What’s Trending at the SEC

What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...

April 17, 2020

Keywords:  OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways

Categories & Topics: Industry Trends, Industry-Level