IAA Today Archive

Updated SEC Agenda Includes Significant Reproposals

Federal agencies issue Spring Reg Flex rulemaking agendas, including reproposals of several SEC rules.

July 11, 2024

Keywords: AML, CFTC, Custody, Cybersecurity, DOL, ESG, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely

Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.

December 08, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

House Financial Services Committee Kicks Off “ESG Month”

House Financial Services Committee Republicans have dubbed July “ESG Month,” and have scheduled multiple ESG-focused hearings that are expected to culminate in a markup of ESG legislation addressing proxy advisors, asset managers, disclosure requirements, and other issues.

July 14, 2023

Keywords: House Financial Services, Inside the Beltway, Proxy, Proxy Voting

Categories & Topics: Compliance, Congress, ESG, Industry-Level, Proxy Voting

SEC Pivots to Finalizing Rules, Other Proposals Coming

Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.

June 15, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist

Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.

January 09, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

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June 27, 2022

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

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

Aligning ESG Investing and Compliance

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March 24, 2022

Keywords: Compliance, Compliance Conference, ESG, Proxy Voting

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

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, Form ADV & CRS, Industry Trends, Industry-Level, Proxy Voting, Reporting