As Policy Debates Intensify, IAA Lanches New ESG Committee Webinar with Head of SEC Enforcement Climate and ESG Task Force Set for May 4 To ensre that the interests of...
April 09, 2021
All Eyes on ESG – Plus Tips for Implementing an ESG Program It seems that everyone is focused on ESG investing these days – investors, the SEC and regulators in...
April 06, 2021
Washington Otlook: Seven Initiatives to Watch The change in Administration is bringing major changes to the reglatory and legislative environment for the investment advisory indstry. In the opening session of...
March 10, 2021
Washington Outlook: Seven Initiatives to Watch The change in Administration is bringing major changes to the regulatory and legislative environment for the investment advisory industry. In the opening session of...
March 10, 2021
Rule Implementation is Priority for Division of Investment Management Speaking on the opening day of the 2021 IAA Investment Adviser Compliance Conference, Sarah ten Siethoff, Acting Director of the SEC’s...
March 10, 2021
SEC’s Division of Examinations Releases Roadmap for Advisers that Invest Clients in Digital Assets Saying activities involved in the offer, sale, and trading of digital assets present unique risks to...
March 01, 2021
SEC Requests Comment on Money Market Fund Report The SEC is requesting public comment on potential reforms for money market funds that were discussed in a report by the President’s...
February 11, 2021
Elevating Climate and ESG Issues, the SEC Names a New Senior Policy Advisor In a signal that the SEC will prioritize both issues under the Biden Administration, the SEC has...
February 11, 2021
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then? By Michelle L. Jacko, Managing Partner, Jacko Law Group, PC* How investment...
January 28, 2021