IAA Today Archive

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

Adviser Fined for Conflicts Disclosure and Custody Issues Related to Private Fund Investments

The SEC has fined a Connecticut-based investment adviser and its principal for inadequate disclosure of conflicts of interest related to investments of a private fund client and for violations of...

September 22, 2021

Keywords: Conflicts of Interest, Custody, Private Funds, SEC Enforcement

Categories & Topics: Business Ops/HR, Compliance, Conflicts, Custody, Enforcement, Private Funds

Private Fund Placement Agent Fined for Custody Rule Violations and Lack of Disclosure of Misappropriation

The SEC has fined an Ohio-based dual-registrant for violating the Custody Rule because the firm did not provide investors in two private funds that it advised with audited financial statements...

September 22, 2021

Keywords: Custody, Disclosure, Private Funds, SEC Enforcement

Categories & Topics: Business Ops/HR, Compliance, Custody, Enforcement, Private Funds

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

IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda

IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda May 19, 2021   SEC Chair Gary Gensler Sustainable investing, proxy...

May 19, 2021

Keywords: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing

Categories & Topics: Business Ops/HR, Compliance, Diversity & Inclusion, Fiduciary, Proxy Voting

SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules

SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules April 5, 2021   The Chief Accountant of the SEC’s Division...

May 04, 2021

Keywords: Custody, Derivatives, Mutual Funds, SEC Investment Management, Valuation

Categories & Topics: Business Ops/HR, Compliance, Custody, Private Funds, Registered Funds, Valuation

SEC No-Action Letter Allows Funds to Custody Loan Interests

SEC No-Action Letter Allows Funds to Custody Loan Interests January 25, 2021   The SEC’s Division of Investment Management has issued a no-action letter that allows registered funds to self-custody...

January 25, 2021

Keywords: Custody, Investment Company Act, Mutual Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Compliance, Custody, Registered Funds

SEC IM Director Dalia Blass Reflects on Division’s Work

SEC IM Director Dalia Blass Reflects on Division’s Work November 17, 2020   In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s...

November 17, 2020

Keywords: Coronavirus, COVID-19, Custody, Dalia Blass, Proxy Voting, Registered Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Compliance, Custody, Proxy Voting, Registered Funds