IAA Today Archive

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

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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

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

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