IAA Today Archive

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

Keywords: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr

Categories & Topics: Compliance, FinTech & Digital, Industry Trends, Industry-Level

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

Keywords:  FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate

Categories & Topics: Compliance, Enforcement, Industry Trends, Industry-Level

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

Keywords: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management

Categories & Topics: Business Ops/HR, ESG, Industry-Level, Proxy Voting, Registered Funds

SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds

SEC’s AMAC Discusses ESG, Diversity & Inclusion, and Private Funds Introduces New Subcommittees on Smaller Advisers, Evolution of Advice April 2, 2021   The SEC’s Asset Management Advisory Committee’s (AMAC’s)...

April 02, 2021

Keywords: Allison Herren Lee, AMAC, Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, ESG, Evolution Revolution, Hester Peirce, Private Funds

Categories & Topics: Business Ops/HR, Diversity & Inclusion, ESG, Industry Trends, Industry-Level, Private Funds

Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce

Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce Commissioner Questions Agency’s Recent ESG, Climate Initiatives March 9, 2021 The European “merit regulation” on ESG is not...

March 09, 2021

Keywords: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways

Categories & Topics: ESG, Industry-Level

SEC Announces Enforcement Task Force on Climate and ESG

SEC Announces Enforcement Task Force on Climate and ESG Commissioners Peirce, Roisman Question Timing, Recent Focus on ESG March 5, 2021   SEC Acting Chair Allison Herren Lee In the...

March 05, 2021

Keywords: Allison Herren Lee, Elad Roisman, ESG, Examinations, Hester Peirce, SEC Corporation Finance, SEC Enforcement

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

SEC Acting Chair Lee Changes Policy on Contingent Settlement Offers

SEC Acting Chair Lee Changes Policy on Contingent Settlement Offers Commissioners Peirce and Roisman Disagree, Say Policy Has Worked Well February 17, 2021   SEC Acting Chair Allison Herren Lee...

February 17, 2021

Keywords: Allison Herren Lee, Elad Roisman, Hester Peirce, SEC Enforcement

Categories & Topics: Industry Trends, Industry-Level

Commissioner Peirce Discusses ESG Metrics and Standards

Commissioner Peirce Discusses ESG Metrics and Standards September 23, 2020   SEC Commissioner Hester Peirce recently gave a speech in which she discussed her outlook on several issues related to...

September 23, 2020

Keywords: Disclosure, Elad Roisman, ESG, Hester Peirce

Categories & Topics: Account Operations, ESG, Industry-Level, Portfolio Management