IAA Today Archive

Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce

The European “merit regulation” on ESG is not a model for the United States, suggested SEC Commissioner Hester Peirce, in her keynote conversation with IAA President & CEO Karen Barr...

March 09, 2021

Keywords: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways

Categories & Topics: ESG, Industry-Level

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

Form CRS filing and ESG disclosure are among the top examination priorities, noted Peter Driscoll, Director of the SEC’s Division of Examinations, in a conversation with IAA General Counsel Gail...

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

Accurately Measuring the Success Rate of Active Funds

Any assessment of the value of active management starts with a measurement of its success in generating returns for investors. However, some well-known measures used to assess active managers’ performance...

January 26, 2021

Keywords: Active Management, Active Managers Council , Columns, Takeaways

Categories & Topics: Active/Passive, Industry-Level

Getting Proactive on ESG: Five Tips for Advisers

Environmental, social, and governance: three factors that have become the focus of attention in the investment world. But where is the investment industry when it comes to incorporating the ESG...

January 05, 2021

Keywords: Active Managers Council , Columns, ESG, Takeaways

Categories & Topics: Account Operations, ESG, Industry-Level, Portfolio Management

IT Pros Discuss Top Five Tech Priorities

Investment technology is an increasingly important part of both the value proposition and the cost equation for an asset management firm. Making the right strategic decisions about where to spend...

December 09, 2020

Keywords: Business Operations, Columns, Leadership Conference, Takeaways, Technology

Categories & Topics: Account Operations, Compliance, Cybersecurity/Privacy, Industry Trends, Industry-Level, Operations

The Washington Year in Preview: What’s Ahead for Legislation and Regulation

Reading the tea leaves in Washington is always a difficult business, but maybe never more so than in this high-stakes election year. At the IAA’s Leadership Week conference this month,...

October 16, 2020

Keywords: Advocacy, Takeaways, Taxes

Categories & Topics: Account Operations, Congress, Industry-Level, Tax

What’s Trending at the SEC

What’s Trending at the SEC April 17, 2020 The SEC speaks, and CCOs listen. Changes in the direction of regulation have an enormous impact on a compliance effort, so investment...

April 17, 2020

Keywords:  OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways

Categories & Topics: Industry Trends, Industry-Level