Study: More Active Investing Drives Greater Market Efficiency
Active investors play a critical role in the markets, a new study on market efficiency confirms.
July 12, 2022
Tags: Active Management, Active Managers Council , Market Efficiency
Gensler Targets Payment for Order Flow, Other Equity Market Structure Reforms
SEC’s Gensler targets payment for order flow and outlines several other potential areas for equity market structure reform.
June 14, 2022
Tags: Gary Gensler, Trading
Active is the Clear Choice for ESG Management
Professional investors trust active managers when it comes to investing for environmental, social and governance risks. That is the finding of a new report from Capital Group, titled ESG Investing...
June 08, 2022
IAA Calls on SEC to Exclude Advisers, Private Funds, Other Advisory Clients from Dealer Proposal
The IAA urges the SEC to exclude SEC-registered investment advisers and their clients, including private funds, from its proposed definition of “dealer.”
June 07, 2022
Tags: Private Funds, Trading
German Police Raid Firm for Alleged ESG Misrepresentations
The raid follows public reports of investigations by the SEC and DOJ into whether DWS has misled investors on its use of ESG considerations in its investment practices.
June 01, 2022
Tags: ESG, EU, Investigation
The IAA and others urge the SEC to extend the comment period for a proposal that would expand the definition of dealer to capture certain advisers and private funds.
May 31, 2022
Tags: Private Funds, Trading
SEC Proposes ESG Disclosures for Advisers, Amendments to Fund Names Rule
SEC issues proposed ESG disclosure requirements for advisers and funds and amendments to Fund Names Rule, signals strong enforcement of ESG disclosures.
May 26, 2022
Tags: ESG, Names Rule, SEC
SEC Charges Adviser and Portfolio Managers with Fraud in Connection with Complex Options Strategy
SEC charges adviser and portfolio managers and bans adviser from registered fund business in connection with fraud related to complex strategy.
May 25, 2022
Tags: Private Funds, SEC Enforcement
Richard Best Named Director of SEC’s Division of Examinations
Richard Best named Director of the SEC’s Division of Examinations.
May 25, 2022
Tags: SEC Appointments, SEC Examinations
IAA Comments to DOL on Addressing Climate-Related Financial Risks in Retirement Plans
In response to a DOL request for information on climate-related financial risks in retirement plans, we recommend that rulemaking be principles-based and not favor any type of investment strategy — and that the DOL should coordinate with the SEC.
May 25, 2022