Category: IAA Today
SEC Fines Adviser for Breach of Fiduciary Duty
The SEC has settled charges against a registered investment adviser for breach of fiduciary duty to clients for failures regarding conflicts disclosure, best execution, and duty of care.
March 07, 2022
Tags: Fiduciary, Revenue Sharing, SEC Enforcement, Share Class Disclosure
New SEC Proposal Calls for Short-Sale Reporting
The SEC has proposed requiring institutional investment managers with discretion over client accounts to report confidentially to the SEC, on a monthly basis, certain short positions. Aggregate data will be made available publicly.
March 07, 2022
Tags: Form 13F, Short Selling
IAA, Others Object to Comment Deadlines for SEC Private Fund Proposals
The IAA joins other trade associations to urge the SEC to extend comment periods for the private fund proposals.
March 02, 2022
Tags: Form PF, Hedge Funds, Private Equity, Private Funds
IAA Briefs Members on Policy Landscape
IAA briefing webinar for members highlights policy priorities and regulatory and legislative landscape for advisers.
February 28, 2022
Tags: Advocacy, IAA on Capitol Hill, SEC Division of Investment Management, Webinars
This article discusses the importance of valuation of security positions held in client accounts.
February 22, 2022
Tags: Valuation
SEC Fines 12 Additional Firms for Failing to Timely File and Deliver Form CRS
SEC settles 12 additional Form CRS cases.
February 18, 2022
Shortened Settlement Cycle on the Horizon
The SEC has proposed shortening the standard settlement cycle for most securities transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1) by March 31, 2024.
February 18, 2022
SEC Fines Adviser for Misleading Clients on Faith-Based Investment Strategy
ESG-related enforcement case against digital adviser that misled retail investors.
February 16, 2022
Tags: Advertising Rule, ESG, SEC Enforcement
Senior SEC Exams Official Departs SEC
Senior exam official, Kristin Snyder, departs SEC after 18 years.
February 16, 2022
Tags: Exams, Kristin Snyder, SEC
Considerations When Drafting an ESG 80% Policy
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
February 14, 2022
Tags: Columns, Compliance, Compliance Policies, Disclosure, ESG, Gary Gensler, Names Rule
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