Category: IAA Today
SEC Eyes Securities Lending Reporting; IAA, Others Objected to Comment Deadline
Describing current securities lending market as “opaque,” with “information asymmetries [that create] inefficiencies,” SEC Chair Gary Gensler has shepherded through a proposal intended to increase transparency and efficiency in securities lending.
December 21, 2021
Tags: Gary Gensler, Trading
SEC Staff Releases Additional Form CRS Observations
Following a new review, SEC staff has released additional observations regarding the content, format, and web posting of Form CRS disclosures.
December 21, 2021
Tags: Discl, Disclosure, Fiduciary, Form CRS
IAA Responds to SEC’s Form 13F Proposal
The IAA has commented on re-proposed amendments to Form 13F to require additional identifying information and certain technical amendments.
December 21, 2021
Commissioner Roisman Departing the SEC
Democrats will have a 3-1 majority on the SEC once Commissioner Elad Roisman's resignation takes effect at the end of January 2022.
December 21, 2021
Tags: Elad Roisman, SEC Appointments
William Birdthistle Appointed SEC Investment Management Director
Chicago-Kent College of Law Professor William Birdthistle has been named Director of the SEC’s Division of Investment Management.
December 21, 2021
NY Electronic Recordkeeping Enforcement Action Sparks Wider SEC Probe
A NY-based firm pays $125 million to settle charges related to failures to maintain and preserve written communications found on personal devices.
December 21, 2021
Tags: Books & Records, SEC Enforcement
SEC Fines PE Fund Adviser $4.5 Million in Connection with Fee Calculations
The SEC has fined an adviser to private equity funds $4.5 million for not offsetting management fees as discussed in fund disclosures.
December 21, 2021
Tags: Disclosure, Fees and Expenses, Private Equity, SEC Enforcement
Announcing the IAA Smaller Advisers Committee
The IAA is pleased to announce the elevation of the IAA Smaller Advisers Compliance Forum to a committee as of January 1 — to be chaired by Sarah Ronnenberg and Rick Oppenheim.
December 17, 2021
Tags: Smaller Advisers
Adviser, Principal Fined for Fund Management, Proxy, Valuation Issues
The SEC has fined a New Jersey-based registered investment adviser and its principal in connection with the adviser’s management of a mutual fund.
December 10, 2021
Tags: Compliance, Mutual Funds, SEC Enforcement, Valuation
New Industry Report on T+1 Settlement Cycle, SEC Rule Proposal Expected
A new industry study targets the first half of 2024 to go live with the transition to a T+1 trade settlement cycle.
December 10, 2021
Tags: Trading
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