IAA Today Archive

IAA and Other Trade Associations Urge SEC and CFTC to Extend Comment Deadline for Second Form PF Proposal

The IAA and other trade associations call for an extension of the comment period for the joint SEC-CFTC Form PF proposal to allow for meaningful stakeholder input.

September 20, 2022

Keywords: CFTC, Form PF, Hedge Funds, Private Equity, Private Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Private 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 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

Federal Agencies Release Spring 2021 Regulatory Agendas

Federal agencies recently released the spring 2021 update to their regulatory agendas. These agendas are the first issued under the Biden Administration and reflect this administration’s policy priorities. They include...

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 Investment Management Highlights Focus Areas in Statement on Funds Investing in Bitcoin Futures

The SEC’s Division of Investment Management (IM) staff has issued a statement regarding registered funds investing in the Bitcoin futures market. The statement refers to the staff’s January 2018 letter...

May 19, 2021

Keywords: Bitcoin, SEC Investment Management

Categories & Topics: Brokerage & Trading, Business Ops/HR, Compliance, FinTech & Digital

SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules

The Chief Accountant of the SEC’s Division of Investment Management has issued a “Dear CFO Letter” to assist funds, advisers, and their independent public accountants “in addressing certain accounting, auditing,...

May 04, 2021

Keywords: Custody, Derivatives, Mutual Funds, SEC Investment Management, Valuation

Categories & Topics: Business Ops/HR, Compliance, Custody, Private Funds, Registered Funds, Valuation

SEC Requests Comment on Money Market Fund Report

The SEC is requesting public comment on potential reforms for money market funds that were discussed in a report by the President’s Working Group on Financial Markets (PWG). As previously...

February 10, 2021

Keywords: Coronavirus, COVID-19, Dalia Blass, Money Market Fund, SEC Investment Management

Categories & Topics: Business Ops/HR, Registered Funds

SEC No-Action Letter Allows Funds to Custody Loan Interests

The SEC’s Division of Investment Management has issued a no-action letter that allows registered funds to self-custody interests in term or delayed draw corporate loans that are originated, negotiated, and...

January 25, 2021

Keywords: Custody, Investment Company Act, Mutual Funds, SEC Investment Management

Categories & Topics: Business Ops/HR, Compliance, Custody, Registered Funds