IAA Priorities Advanced by House Financial Services Committee
IAA priorities to alleviate the regulatory burdens on smaller advisers, expand the definition of accredited investor, and allow e-delivery of disclosure documents were advanced by the House Financial Services Committee.
May 02, 2023
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
We’re sorry – you must be a member to view this content. Please log in.
November 04, 2021
The issues include sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, and effective coordination with other regulators.
May 19, 2021
The SEC’s Asset Management Advisory Committee has made preliminary recommendations to address COVID-19-related operational issues, including electronic delivery, remote work, e-authorization, and dematerialization.
November 10, 2020
SEC Investment Management Director Blass Discusses Regulating for the Future
The SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking regulation.
October 05, 2020
IAA, Other Industry Groups Call for Modernized E-Delivery Framework
The IAA, along with several other industry trade groups, has issued a discussion paper urging the SEC to update its regulations to establish electronic delivery as the primary means for delivering required disclosures to investors.
September 23, 2020
The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery
The COVID-19 pandemic has proven to be a great disruptor, requiring advisory firms to make a wide range of unanticipated operational changes.
September 22, 2020
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division.
August 11, 2020
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
