IAA Today Archive

SEC Pivots to Finalizing Rules, Other Proposals Coming

Federal agencies issue Spring Reg Flex agendas, reflecting continuation of ambitious agendas.

June 15, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist

Federal agencies issue Fall Reg Flex agendas, reflecting continuation of ambitious agendas; Custody Rule and anti-money laundering for advisers still planned.

January 09, 2023

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agents, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Compliance Outreach Program Scheduled for November 15

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September 22, 2022

Keywords: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations

Categories & Topics: Advertising, Compliance, Compliance Programs, ESG, Industry-Level, Private Funds, Registered Funds

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

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June 27, 2022

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, Business Ops/HR, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

SEC Responds to Commenter Requests, Extends and Reopens Deadlines

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May 11, 2022

Keywords: ESG, Gary Gensler, Private Funds

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

Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More

Federal agencies have released updates to their regulatory agendas, which include several important new potential regulations for investment advisers, most notably regarding anti-money laundering, cybersecurity, and private fund advisers.

December 15, 2021

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Proxy Voting

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

Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement

Form CRS, ESG Disclosure are Priorities for SEC Exams, Enforcement March 9, 2021 Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of...

March 09, 2021

Keywords: Compliance Conference, ESG, Form CRS, Libor, Peter Driscoll, Private Funds, SEC Enforcement, SEC Examinations, Share Class Disclosure, Takeaways

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