IAA Today Archive

Younger Investors Go Private for Active Exposure

By embracing private markets, younger investors have found their own route into active management, suggests Michael Bell, CEO of Meketa Capital.

January 22, 2025

Keywords: Active Management, Active Managers Council , Alternatives, Private Equity, Private Funds, Private Offerings

Categories & Topics: Active/Passive, Industry-Level

Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern

Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.

July 17, 2024

Keywords: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research

Categories & Topics: Industry Trends, Industry-Level

SEC Continues Ambitious Agenda, AML Proposal for Advisers Likely

Federal agencies have issued their Fall Reg Flex rulemaking agendas, reflecting a continuation of ambitious agendas.

December 08, 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

Office of Investor Advocate Presents Policy Objectives

The SEC’s Office of the Investor Advocate has published its policy objectives for the 2024 fiscal year.

August 03, 2023

Keywords: Digital Advice, Investor Advocate, Outsourcing, Private Funds

Categories & Topics: Compliance, FinTech & Digital, Industry-Level, Investor Education, Private Funds

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

The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.

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

SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows

The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.

June 30, 2022

Keywords: Climate, Compliance Testing, Conflicts of Interest, Cybersecurity, Digital Assets, ESG, Fees and Expenses, Marketing Rule, Private Funds, Research, Survey, Valuation

Categories & Topics: Industry Trends, Industry-Level