IAA Today Archive

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

CFTC Proposes to Codify Separate Account Relief at FCMs

In a long-awaited move, the CFTC proposes to codify staff relief (No-Action Letter 19-17) to permit FCMs to treat advisers' clients’ separately managed accounts at the FCM as separate accounts for purposes of margin requirements.

March 23, 2023

Keywords: CFTC

Categories & Topics: CFTC, Compliance

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

IAA and Other Trade Associations Urge SEC and CFTC to Extend Comment Deadline for Second Form PF Proposal

The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.

September 20, 2022

Keywords: CFTC, Form PF, Hedge Funds, Private Equity, Private Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Private Funds

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

Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More

Federal agencies have released updates to their regulatory agendas, which include several important new potential regulations for investment advisers, most notably regarding anti-money laundering, cybersecurity, and private fund advisers.

December 15, 2021

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

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

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

CFTC Staff Issues Updated Form CPO-PQR FAQs to Reflect Revised Form

CFTC Staff Issues Updated Form CPO-PQR FAQs to Reflect Revised Form June 15, 2021   The Commodity Futures Trading Commission (CFTC) Market Participants Division has published 20 new frequently asked...

June 15, 2021

Keywords: CFTC, CPO

Categories & Topics: CFTC, Compliance