IAA Today Archive

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

The SEC’s Asset Management Advisory Committee’s (AMAC’s) March meeting covered several topics that are high on the SEC’s policy agenda – ESG, diversity and inclusion, and private investments – and...

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

The European “merit regulation” on ESG is not a model for the United States, suggested SEC Commissioner Hester Peirce, in her keynote conversation with IAA President & CEO Karen Barr...

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 Acting Chair Allison Herren Lee In the yet another move to intensify its focus on matters relating to ESG disclosures and investments, the SEC’s Division of Enforcement has...

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 Allison Herren Lee In a move sure to unnerve registrants looking to settle an SEC enforcement action, SEC Acting Chair Allison Herren Lee has reversed a...

February 17, 2021

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

Categories & Topics: Industry Trends, Industry-Level

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