Highlights from the 2025 IAA Compliance Conference
In case you missed the 2025 Compliance Conference, here are some key takeaways.
March 17, 2025
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SEC Commissioner Peirce Outlines New Approach to Crypto Regulation
SEC Commissioner Hester Peirce issued her first policy statement since being appointed to lead the Commission’s new Crypto Task Force.
February 07, 2025
SEC Brings Four Pay-to-Play Cases, Commissioner Peirce Highlights Need to Revisit the Rule
The SEC charges four investment advisers with violations of the Pay-to-Play rule, as Commissioner Peirce calls on the SEC to revisit the “exceedingly blunt instrument.”
September 22, 2022
SEC Proposes Cybersecurity, Private Fund Adviser Rules
The SEC has issued three rulemaking proposals – on cybersecurity, private fund advisers, and shortening the settlement cycle – that will have major implications for investment advisers.
February 09, 2022
SEC Calls for Additional Private Fund Reporting and Information
The SEC proposed substantial changes to Form PF that would require private fund managers to report certain events within one day and private equity fund managers to provide additional information.
January 27, 2022
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
The SEC's Asset Management Advisory Committee (AMAC) is recommending that the SEC address the IAA's calls for relief for smaller investment advisors through tailored regulation and assessment of the cumulative impact of regulation on small firms.
November 04, 2021
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021