IAA Today Archive

Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern

Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.

July 17, 2024

Keywords: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research

Categories & Topics: Industry Trends, Industry-Level

SEC Officials in the Spotlight at IAA Compliance Conference

More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.

March 17, 2023

Keywords: Compliance Conference, Cybersecurity, Marketing Rule, SEC, SEC Enforcement, SEC Examinations, Smaller Advisers

Categories & Topics: Industry Trends, Industry-Level

IAA Briefs Members on 2023 Policy Landscape

In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.

February 10, 2023

Keywords: Advocacy, Cybersecurity, ESG, IAA on Capitol Hill, Marketing Rule, Outsourcing, SEC Investment Management, Webinars

Categories & Topics: Industry Trends, Industry-Level

SEC Compliance Outreach Program Scheduled for November 15

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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

SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows

The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.

June 30, 2022

Keywords: Climate, Compliance Testing, Conflicts of Interest, Cybersecurity, Digital Assets, ESG, Fees and Expenses, Marketing Rule, Private Funds, Research, Survey, Valuation

Categories & Topics: Industry Trends, Industry-Level

New SEC Marketing Rule Now Top Compliance Concern, Survey Shows

New SEC Marketing Rule Now Top Compliance Concern, Survey Shows Most firms report effective business continuity plans related to COVID-19 September 3, 2021 Implementing the SEC’s new Marketing Rule for...

September 07, 2021

Keywords: Compliance, Marketing Rule

Categories & Topics: Industry Trends, Industry-Level

Federal Agencies Release Spring 2021 Regulatory Agendas

Federal Agencies Release Spring 2021 Regulatory Agendas Focus on ESG Disclosure, Custody, Proxy Voting, Cross-Trading, Money Market Funds June 16, 2021   Federal agencies recently released the spring 2021 update...

June 16, 2021

Keywords: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: Business Ops/HR, CFTC, Compliance, Custody, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process

Biden Administration Acts Aggressively on Day 1 Regarding Regulatory Process DOL ESG Rule to be Reviewed, Fiduciary Exemption May be Delayed January 26, 2021   President Joe Biden was sworn...

January 26, 2021

Keywords: Compliance, DOL, ERISA, ESG, Executive Order, Fiduciary, Marketing Rule, Proxy Voting

Categories & Topics: Business Ops/HR, Compliance, ERISA & Pension Plans, Industry Trends, Industry-Level, Proxy Voting