SEC Announces 2027 Examination Priorities
The SEC’s Division of Examinations has released its FY 2027 examination priorities, highlighting continued scrutiny of investment advisers’ fiduciary obligations, conflicts of interest, compliance programs, cybersecurity, and emerging technologies.
October 23, 2026
The SEC has reopened the comment period for a proposal to require universal proxy cards in connection with certain contested director elections.
April 27, 2021
SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA
In a policy win for the IAA, the SEC has adopted a new “fund of funds” rule that does not include a proposed redemption limitation on a fund that acquires an ownership interest in another fund.
October 08, 2020
The SEC’s Divisions of Investment Management and Trading and Markets have issued a statement providing no-action relief from failure to deliver certain international adviser and fund communications.
June 25, 2020
SEC Adopts Amendments to Financial Disclosure Rules Related to Acquisitions and Dispositions
The SEC has adopted amendments to Regulation S-X and other regulations.
June 03, 2020
In response to the coronavirus, the SEC’s Division of Investment Management extended no-action relief that it provided in February 2019 from certain in-person voting requirements for fund directors.
March 04, 2020
This Risk Alert focuses on funds, but its themes echo those in previous Risk Alerts relating to investment advisers.
November 25, 2019
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
