IAA Today

Compliance Conference

High Tech in High Finance | SEC’s FinHub, Compliance Automation As in other industries, technological change is driving innovation in asset management. At the 2021 IAA Investment Adviser Compliance Conference,...

April 20, 2021

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ERISA

DOL Issues FAQs for Firms, Guidance for Investors on Fiduciary Exemption DOL Anticipates Amending Fiduciary Exemption, Other Exemptions, and ERISA Investment Advice Fiduciary Regulation Less than two months after allowing...

April 20, 2021

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IPOs

SEC IAC Focuses on Minority and Underserved Inclusion The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services, calling...

April 20, 2021

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IRAs

SEC IAC Focuses on Minority and Underserved Inclusion The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services, calling...

April 20, 2021

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CTA

NFA Announces September 30 Effective Date for New Third-Party Service Providers Oversight Requirement The National Futures Association (NFA) has announced in a Notice to Members that Interpretive Notice 9079 –...

April 14, 2021

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Hedge Funds

FSOC Meeting Focses on Hedge Fnds, Mtal Fnds, Impact of Climate Change on Financial Stability The Financial Stability Oversight Concil’s (FSOC’s) first meeting of the year – and of the...

April 14, 2021

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NFA

NFA Announces September 30 Effective Date for New Third-Party Service Providers Oversight Requirement The National Futures Association (NFA) has announced in a Notice to Members that Interpretive Notice 9079 –...

April 14, 2021

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Systemic Risk

FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year – and of the...

April 14, 2021

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Examinations

SEC Risk Alert Outlines ESG Exam Focus Areas, Related Deficiencies, Effective Compliance Practices The SEC’s Division of Examinations has issued a Risk Alert describing areas of focus in examinations of...

April 12, 2021

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