Category: IAA Today
A New Look for the IAA Website
The IAA's completely redesigned website is aimed at advancing the interests of member firms by providing access to essential expertise, crucial connections, and powerful advocacy tailored to their needs.
October 26, 2021
“The Workplace Must Become a Magnet” – Three Trends in the Future of Work
Three industry experts explore the post-pandemic challenges of sustaining culture, performance, and employee and client satisfaction amidst a sea of expectations and needs.
October 25, 2021
Tags: Columns, COVID-19, Human Resources, Takeaways
Compliance and Operational Risks Associated with Public Pension Plan Investors
Requirements for public pension plan investments have expanded. Managers must consider compliance challenges before a plan invests and before the first interaction with a plan.
October 20, 2021
Biden Climate Financial Roadmap Discusses SEC and DOL ESG Proposals
A new Biden Administration report lays out "a roadmap for measuring, disclosing, managing, and mitigating climate-related financial risk across the economy” and follows an executive order regarding financial risk and climate change policy.
October 20, 2021
DOL Proposal Would Allow Fiduciaries to Consider ESG When Selecting Plan Investments
Retirement plan fiduciaries will be permitted to consider climate change/ESG factors when selecting plan investments and voting proxies under a new proposal by the Department of Labor.
October 18, 2021
The IAA has submitted a comment letter to the SEC in response to the agency’s August 27 Request for Information on the use of digital engagement practices and technology to provide investment advice by investment advisers.
October 12, 2021
Tags: Digital Advice, Robo, Technology
IAA, Others Urge SEC to Reconsider New Rule’s Impact on Fixed Income Markets
The IAA is expressing concerns about the potential application of a recently amended broker-dealer rule on the fixed income securities markets.
October 12, 2021
Tags: Trading
SEC Ramping Up Scrutiny of Cybersecurity at Investment Advisers
The SEC continues to ramp up its exam and enforcement focus on cybersecurity, focusing on cyber breach response procedures and protection of client information.
October 10, 2021
Tags: Columns, Compliance Corner, Cybersecurity, SEC Enforcement
Adviser Fined for Custody Rule Violations for Facilitating Loans Between Clients
The SEC has fined a California-based registered investment adviser and its president for custody failures.
October 07, 2021
Tags: Compliance Policies, Conflicts of Interest, Custody, SEC Enforcement
In Revenue Sharing Case, SEC Highlights Failure to Consider Other Money Market Funds for Cash Sweeps
In yet another case involving cash sweep accounts, the SEC has fined a New York-based adviser in connection with failing to disclose revenue sharing and related conflicts of interest involving money market fund cash sweep accounts.
October 06, 2021
Tags: Conflicts of Interest, Revenue Sharing, SEC Enforcement
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