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

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

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 Gensler Discusses ESG Disclosures, Market Structure, Transparency

SEC’s Gensler Discusses ESG Disclosures, Market Structure, Transparency Roisman Raises Concerns about SEC’s Role in ESG Disclosures June 29, 2021   SEC Chair Gary Gensler discussed several of the SEC’s...

June 29, 2021

Keywords: Elad Roisman, ESG, Gary Gensler, Regulatory Agendas

Categories & Topics: ESG, Industry Trends, Industry-Level

Federal Agencies Release Spring 2021 Regulatory Agendas

Federal Agencies Release Spring 2021 Regulatory Agendas Focus on ESG Disclosure, Custody, Proxy Voting, Cross-Trading, Money Market Funds June 16, 2021   Federal agencies recently released the spring 2021 update...

June 16, 2021

Keywords: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management

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

SEC Chair Addresses Systemic Risk Council on Money Market Funds, LIBOR; CFTC Receives Recommendation for Best Practice Benchmark to Replace LIBOR

SEC Chair Addresses Systemic Risk Council on Money Market Funds, LIBOR; CFTC Receives Recommendation for Best Practice Benchmark to Replace LIBOR June 15, 2021   In his first remarks to...

June 15, 2021

Keywords: CFTC, Derivatives, FSOC, Gary Gensler, Libor, Money Market Fund, Regulatory Agendas, Rostin Behnam

Categories & Topics: Bank Regulation/FSOC, Business Ops/HR, CFTC, Compliance, Industry-Level, Registered Funds

SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas

SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas July 14, 2020   Federal agencies recently released the spring 2020 update to their regulatory agendas. Each agency’s agenda is...

July 14, 2020

Keywords: CFTC, DOL, FinCEN, Regulatory Agendas, SEC

Categories & Topics: CFTC, Compliance

Fall 2019 Regulatory Agendas Released; SEC Moves Accredited Investor to Short-Term Agenda, Adds Form 13F Filer Threshold

Fall 2019 Regulatory Agendas Released; SEC Moves Accredited Investor to Short-Term Agenda, Adds Form 13F Filer Threshold November 27, 2019   Federal agencies recently released the Fall update to their...

November 27, 2019

Keywords: Advertising Rule, AML, CFTC, Custody, DOL, FinCEN, Regulatory Agendas

Categories & Topics: 13F, Advertising, Business Ops/HR, Compliance, Proxy Voting, Reporting, Whistleblower