Category: IAA Today
Growth in Alts Highlights Importance of Active
“We are approaching another inflection point” in the growth of alternatives, argues John Bowman, executive vice president of CAIA Association, the Chartered Alternative Investment Analyst Association.
September 26, 2023
Tags: Active Management, Active Managers Council , Alternatives
SEC Adopts Amendments to the Investment Company Act Names Rule
The SEC has adopted amendments to the Investment Company Act Names Rule to address its concerns about fund names that are likely to mislead investors about a fund’s investments and risks.
September 21, 2023
Tags: ESG, Fund Names
IAA Petitions SEC to More Accurately Consider Impact of Regulations on Smaller Advisers
As part of the IAA’s ongoing advocacy on behalf of smaller advisers, we submitted a rulemaking petition to the SEC to require the agency to adhere to its statutory obligations to accurately analyze the impact of its regulations on smaller advisers and consider less onerous alternatives.
September 14, 2023
SEC Announces Enforcement Actions Resulting from “Sweep into Marketing Rule Violations”
The SEC announced enforcement actions against nine advisers under the Marketing Rule in connection with advertising hypothetical performance.
September 12, 2023
Tags: Advertising, Marketing Rule, Performance
SEC Risk Alert on Selecting and Scoping Adviser Examinations
SEC staff has published a Risk Alert on how the SEC selects advisers to examine and determines the scope of risk areas to examine.
September 07, 2023
Tags: Examinations, Risk Alert
SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
Tags: Form ADV, Custody, SEC Enforcement
SEC to Require Written Documentation of Annual Review
The SEC has amended Compliance Rule 206(4)-7 to require that annual reviews for all SEC-registered advisers be documented in writing.
September 06, 2023
This article highlights the challenges advisers face around the current state of ESG investing and regulation and the considerations of disclosure, data, and portfolio management issues.
August 30, 2023
Tags: ESG
Massachusetts Supreme Judicial Court Upholds Fiduciary Duty Rule for Broker-Dealers
The regulation, challenged by Robinhood, requires broker-dealers to act as fiduciaries when providing investment advice to clients.
August 30, 2023
Tags: Fiduciary, Massachusetts, NSMIA
SEC Settles First Enforcement Action Under the Marketing Rule
SEC settles first enforcement action under new Marketing Rule; charges relate to misleading hypothetical performance in advertisements and several other compliance failures.
August 22, 2023
Tags: Advertising, Crypto Assets, Hedge Clauses, Marketing Rule
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